Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases
Plc. (TWZ). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ shares, the SEC probed into the case and found that such irregular trading (1) from September 28 to
client and acted irresponsible for the consequence of her action. The SEC probed into the case and found that {A} had made trading decision for such client in a manner that executing orders prior informing
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
the referral from the Stock Exchange of Thailand, the SEC's probe found that during November 9-22, 2012, {A} purchased 1,786,100 {X1} Company shares based on the company positive non-public information
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