orders through his account and requested {A} to inform him afterward. {A} admitted that he had made the aforesaid agreement with the client and daily traded securities through client's account, at
disseminating such information via www.tmbleasing.co.th to mislead investors that they can easily make profits from derivatives trading. This made numerous investors believed and decided to open trading accounts
sequences according to Section 91 of the Penal Code. The Court inflicted punishment on Suradej for violating his duties as director who (1) made false entries in the meeting?s minutes to deceitfully deprive
SEC as well. Preparation and disclosure of Form 56-1, although not necessarily be lengthy or extremely detailed, must contain adequate and accurate information in materiality and be made in a timely
investment consultants offered for sale of 5-year structured notes to the client. The client made investment based on the understanding that the bank would redeem the notes after six months as from the
important information in POWER-P?s 2005 financial statements and documents, as well as incomplete, incorrect and inaccurate accounts to deceive the others. Owing to the fact that Ratchasak made confession
authorization from his client and made SBL trading decisions for the client when there was profit or risk with the client's account. He then informed his client via telephone with regard to the profit and loss on
. These made the total punishment of four-year imprisonment. Since he pleaded guilty, the Court halved his jail term to two years. ? Pailin Kumut was convicted on one count with one-year imprisonment and a
trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor
that trading was made by local institutions and there was no irregular trading in any particular securities during such period.4. Cause and resolution for TFEX?s delayed openingNumerous transactions