by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the

resulted in SINGHA?s 2007 financial statements having 63.7 million baht operating profit; instead of an operating loss.There are grounds to believe that such false revenues were items on sales of the wood

period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by

which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation

showed that a number of clients' securities trading orders were not completely recorded. For {C}, the first investigation revealed that she failed to completely record her advice and a client's securities

persons securities trading accounts. The said four accomplices were Porntep Thawornwisuthikul, Arada Lertpinyopap, Naruephol Chatchalermvit and an unknown person previously named in the SEC's criminal

failure to keep complete record of the securities trading orders were deemed as failure to perform the duties with due care and professional competence under the Notifications of Capital Market Supervisory

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

seller were deemed as failure to perform duties with honesty and to adhere to the professional ethics and standard of conducts for the capital market personnel. The said actions were in violation of Clause

purchase or sell MILL shares, which led to a trading condition of MILL shares was not consistent with the normal market conditions. In addition, there were other 5 individuals, namely: Miss Pornwadee