client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading
benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet
referral from the Stock Exchange of Thailand, the SEC's probe found that during July 27 - August 15, 2011, {A} sold 29 million {X1} Company shares in securities trading account of the {X2} Company. She
Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading
} was found colluding with other persons to trade RICH shares through 15 related persons? securities trading accounts during May 10 - July 31, 2007. The scheme had considerable impact on RICH share price
into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client. In so doing, {A} failed to inform the
had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person
will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found. The issuers covered under the proposed revision are non-listed
shares has been launched at 1.25 baht per share, Bee has been found purchasing 1,017,500 EIC shares through the Stock Exchange of Thailand (SET) at 3.50 baht a share. The tender offer will be closed on
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client