trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client. In this regard, {A} and {B}'s actions were in violation of
Vorapol Socatiyanurak said that ?Business operators in the capital market have duties under the Anti-Money Laundering Act and the Counter-Terrorism Financing Act. They must therefore have in place sound and
consultant, for the misconducts found during the first investigation. For the misconducts found in the second investigation, two-month suspensions were imposed on both of them. Considering that they had been
together with other three aiders or abettors, namely Budget Management and Design Co., Ltd., Montian, and Chai (or Kittiwut). Other than Section 312 of the SEA, they were charged on fraud, embezzlement and
the Project, business operators will gain knowledge and better understanding about capital market, relevant fund raising rules and regulations, and preparation for going public. In addition, they will
information thoroughly and exercise their rights to protect their own benefits. In addition, they should seek further clarifications from the company?s directors and executives to obtain adequate information
failed to show evidence of their clients trading orders, and most of them admitted that they had taken orders via mobile phone, claiming the clients unfamiliarity with order execution via phone recording
, 2006 and Thai Unique Coil Center Plc. (TUCC) during October 1-31, 2007. They also conspired with Suriya, Somphong Vitthayaraksan and Somchai Sripayak in using other persons? trading accounts to
they can easily make profits from trading gold futures contracts, which made numerous investors believe and decided to open trading accounts with the company and paid investment amounts to the company in
’ representatives. The bondholders are, therefore, encouraged to thoroughly review the information and exercise their rights to protect their own interests. They should also make necessary inquiries to the