) under consideration, the penalty already served, the impacts, damage or benefits generated, rectification or other actions benefiting or hindering SEC’s operation, and the record or other past behaviors
. Investors should object to any trading activities that do not comply with their investment objectives and monitor regularly the ongoing record of their trading transactions sent to them by the responsible
. Accordingly, there was no record of client's selling order.Making trading decisions of securities in the client's account without the client's order and not taping investment advices and client's orders were in
Bangkok, August 16, 2012 ? The SEC reveals that provident funds offering employee?s choice continually increased in Q2/2012. The record showed an increase of 176 employers offering employee?s choice
be responsible and perform duties with prudence and care in compliance with laws, rules and regulations. The SEC therefore put Weerawat on probation by accumulating three demerit points on his record
every account had never been used to trade KARAT shares prior to Apichart?s holding a position of legal counsel for this business deal. The record showed that trading of KARAT shares through those
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
for public offerings. The issuers must prepare financial statements in accordance with financial reporting standards while having no record of failure to file with the SEC their financial statements or
derivatives trading orders to make up the record of receiving those orders. In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to
affect the value of the asset. Moreover, the economy is generally in recession and there is no clear record of the existing debtor?s past repayment, causing a negative impact on the repayment ratio. And in