trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigation spurred from clients? complaint about {A}'s conducts. It was found that {A} had sent trading orders

of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year

an employee of MTS Gold Futures Co., Ltd., effective from November 20, 2012.Following a report on {A} case filed by Sicco Securities PLC (presently CIMB Securities International (Thailand) PLC), the

): ....................................................................................................................................................................................  Wish to apply for Company Account from the SEC Office in the following manners:  Not an urgent application (normal case)  An urgent application (a 30-day expiry from the SEC Office’s approval date

: ...................................................... (…………………………………………….) Authorized person Date: ......................................... Remarks: 1. In case of authorization for submission of documents, a power of attorney is required. 2. In case of a juristic person, the

from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow:            (1) In the case of {A}, she was found to fail to examine the correctness of

:    Case 1: Committing a fraud by misappropriating IEC assets through a purchase transaction of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million baht. Suthin and Charuwan sold the shares and

in any  particular case. If an offender fails to pay a civil penalty, in full or in part despite already agreed upon, or refuses to comply with a civil sanction, the SEC may seek the Civil Court's

during July 21st August 20, 2008, the SEC probed into the case and found that {A} {B} {C} five other accomplices, and another unknown person had colluded to trade UKEM shares through seven persons

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record