received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties

Division of the Royal Thai Police on account of offering securities for sale to the public without approval.According to the received information and the SEC?s further inspection on public solicitation for

misuse of proceeds received from increase of capital by investing in shares and warrants of P Plus P Plc. The proceeds used to invest in the securities also exceeded the amount approved by GEN executive

complain on the company?s investor contact, Chalerm, the SEC found that Chalerm had received securities and derivatives trading orders from clients, but he had not made any of the transactions. Instead, he

clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been

as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and

some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading

Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor

attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public

accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's