of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year

an employee of MTS Gold Futures Co., Ltd., effective from November 20, 2012.Following a report on {A} case filed by Sicco Securities PLC (presently CIMB Securities International (Thailand) PLC), the

, and expertise. For example, where the complexity of a security or the structure of a type of security, or the lack of robust data about the assets underlying the security raise serious questions as to

authorized person(s) shall affix signature and the company’s seal (if any). 3. In case of a non-juristic group of persons, every authorized person shall affix signature. Coordinator

from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

:    Case 1: Committing a fraud by misappropriating IEC assets through a purchase transaction of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Suthin and Charuwan sold the shares and

in any  particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's

during July 21st August 20, 2008, the SEC probed into the case and found that {A} {B} {C} five other accomplices, and another unknown person had colluded to trade UKEM shares through seven persons

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

Exchange Act B.E. 2535 (1992) (SEA). The findings previously led to the sanctions imposed on ING Funds, Maris and Burim. In this connection, the SEC further probed into the case and found that from January 5