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 had to settle the

investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives

Stock Exchange of Thailand, the SEC probed into the case and found that {A} had sold 711,300 {X1} shares in a trading account of a juristic person where he is an authorized director and holds 99.98

Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication

. (IT).With the referral from the Stock Exchange of Thailand, the SEC?s probe found that during January 31 - February 4, 2013, Pantipa, IT financial controller, had sold 374,440 IT shares through

and audited financial statements by May 8, 2015.The SEC found that the auditor gave a qualified opinion on TIES?s 2014 financial statements in relation to the construction cost reports for construction

statements with intent to mislead other persons concerning the facts stated in BLISS financial statements.The SEC found that Chakkit, then BLISS executive, imparted the statements in the company?s Q2/2013, Q3

Limited (ESTAR) for insider trading.With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during February 24-28, 2014, Ratanachai had used another person?s

of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients

EMC Public Company Limited (EMC).With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during October 16-18, 2013, Paiboon, then EMC Managing Director