trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the

the decision-making on investment or the change in the securities price of the company within specified period. SEC Act S.300 Settlement Committee Meeting No. 2/2018 Settlement Committee Order No. 10

failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the

misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . This case is in the process of inquiry by the

to allow investors to make informed investment decision. As fact sheet is considered part of the registration statement, investors will be entitled to take legal action against DW issuer if it contains

issuer, SET or SEC to allow investors to make informed investment decision. As fact sheet is considered part of the registration statement, investors will be entitled to take legal action against DW issuer

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

and relevant to the client's investment decision. From the Stock Exchange of Thailand's securities trading inspection report on Electronics Industry Public Company Limited (EIC), the SEC further probed

securities trading decisions on behalf of the client. She then continuously made trading decision on behalf of the client for more than three months in high value and volume trades. {A}'s action was deemed as