result of which failed to identify Wichai?s dishonest acts occurred in the following period of time. In addition, Jadesada did not cautiously verify the existence of Wichai?s assets claimed to be sold for

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found  that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and

the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee.  The criminal case has thus not been regarded as settled.In this

client's damage. {A}'s misconduct was a failure to provide material information or warning statements to prevent investors? benefits from being compromised. He also failed to abide by professional ethics of

trigger for a mandatory tender offer of the total NMG shares sold. In so doing, they failed to report their acquisitions, and did not make the tender offer for NMG takeover.As a result, their actions were

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

, attempts to arrest the offender have failed and the statute of limitations has run out.

orders from another client's child, not being the account owner's appointee; as well as failed to keep complete records of her clients' orders. She admitted that she had always taken orders from such

inspection that {A}, a capital market investment consultant of Phillip Securities, failed to record his clients? securities and derivatives trading orders. {B}, a capital market investment consultant, and {C