February 2018.The new set of ?Standards of Qualifying CIS? which fund managers under the ASEAN CIS Framework have to adhere to can be found at http://www.theacmf.org/ACMF/upload

found that several withdrawal transactions were gradually made from the client's ATS account to his own bank account, totaling 6.16 million baht. Therefore, {A} was considered the true beneficiary of the

trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders

, after receiving report on suspicious activities. The SEC?s investigation and evidence found at the site indicated that during August 2009 ? February 2010, both companies had presented themselves on a

shares from January 9, 2006 to January 25, 2007, the SEC probed into the case and found that Pattanapong had traded ASCON shares through trading accounts of five other persons in the manner that boosting

investment advice or investor contact.  Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not

market investment consultant of Finansia Syrus Securities Plc.The SEC found from its routine inspection that {A} frequently failed to keep records of his advice and clients' securities trading orders.  He

during March ? May 2008 and  August 2010 and MAX shares in September 2010,  the SEC probed into the case and found that Shine and others had continuously sent securities trading orders through trading

, 2013.With a referral on the {A} case from the Stock Exchange of Thailand, the SEC probed into the case and found that {A}, then Senior Vice President Retail Sales 1 of Siam City Securities Co., Ltd., had

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the