). According to a referral from the Stock Exchange of Thailand and the SEC?s further investigation, Chayanont was found to have traded CHUO shares continuously during 28 April ? 30 May 2014, in such a way that
inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the
of being overwhelmed by distracting giveaway information. Any advertisement found to be non-compliance with the guideline may be ceased or revised. In addition, asset management company or seller may
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
that he notified his clients of trading orders at night and failed to keep records of all clients' trading orders. Conversations between {A} and the clients found on the records also indicated the
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
from Krungsri Securities PLC., the SEC probed into the case and found that Atthapol submitted trading orders for the client?s securities trading account through IP address of Krungsri Securities during
referral from the Stock Exchange of Thailand, the SEC probed into the case and found that on September 16, 2013, {A} had traded 130.12 million SSI shares by placing a total of 299 trading orders through
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading