probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a

into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of

, and LAWI, waste management agreement with the municipality, power purchase agreement with the Provincial Electricity Authority. Besides, based on CWT?s assumption, IFA also found that if investment in

case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were

will also require NMG Chairman of the Board to make clarification according to normal procedure. If non-compliance with the said provision is found, the SEA prescribes the penalty under the first

provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading

wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible for operation and management of RAM assets, arranged for RAM to sell its acquired shares of Kiatnakin Bank

shareholders? meeting (AGM) to lessen company costs and shareholders? burdens, especially foreign shareholders. Senior Assistant Secretary-General Waratchya Srimachand said: ?So far, we have found that each

management companies on practicing front running scheme, the SEC probed into the case and found that Sopana, who was K-Asset Vice President from November 2009 to November 2010 and SCBAM Senior Executive Vice

) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized