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

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make

the case and found that from April 7 to 21, 2010, Swake had, via other persons? securities accounts, purchased 5,000,000 PLE shares in the manner that taking advantage of the others by using PLE

the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was

submitted documents and inquiries to SICCO Advisory, it was found that such letters of intent and the certified documents of 177 EPCO shareholders having accumulated 196,630,780 shares in their possession

this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of

(CSRC), Financial Reporting Council (FRC Hong Kong) and SEC Thailand. The meeting discussed the inspection process development, deficiencies found during audit quality inspection and initiatives in

and found that during March 18 ? October 9, 2008, Boonchai, TYM Managing Director and major shareholder, Boonchoke, TYM major shareholder, Vallaya, Pichai, Duangruethai, Prasong, Pattanuch, Luckkana (or

SEC?s probe found that during April 23 ? May 14, 2012, Sermkhun had purchased CMO shares through his securities trading account by using non-public information material to CMO share price concerning CMO

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12