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

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

Bangkok, July 7, 2014 ? The SEC revised rules on mutual fund selling agents to allow additional channels for investment in mutual funds, expected to put into effect by early August 2014.Vorapol

and volume. In addition, a number of trading orders were also matched within the group to induce the public into the trading of RICH shares.  Previously, the Settlement Committee on January 22, 2014

funds into 5 classes, namely equity fund, fixed income fund, mixed fund, property fund and commodity fund where the classification will be revised every one and a half year. For newly-registered mutual

into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client.  In so doing, {A} failed to inform the

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

revisions, the business operators will be required to have in place a sound internal control system, by taking into account the utmost interest of customers, for preventing the use of inside information and

probed into Wiroj case 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

by concealing important information that might adverse affect the client's benefits. Following the report of UOB Kay Hian Securities (Thailand) Plc. and a client complaint, the SEC probed into {A} case