some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading

Jordan or Eric Jack Jordan as PPI director and personal capacity and (3) Gary Bradford for jointly operating securities business without license. The SEC received a complaint from a foreign investor

attend and exercise voting rights at AGM was non-compliance with the law on public limited company.Earlier, the SEC received complaints stating that Chairman of the Board of Nation Multimedia Group Public

accounts. Those orders were submitted without sources and {ก} admitted that he took trading orders via mobile phone. In addition, he received the trading orders from one client for another client's

to the penalties under Section 296 of the Securities and Exchange Act of 1992. He was subject to a criminal fine penalty. Given that the benefit he had received was lower than the minimum fine of

also received benefits from other relevant acts. His action  was deemed a violation of Section 89/7 and subject to penalties prescribed in the second paragraph of Section 281/2, Section 307, Section 311

internal control over small-sized gas cylinders quantity, deposits received for small-sized gas cylinders of PICNI and SCT Vietnam Gas Co., Ltd., and audit on the past record of purchases of small-sized gas

he received together with penalties. The investigation also revealed that during the client made the request for selling of investment units, {A} was serving another client. Without making any contact

prices in the approximate periods that caused the client to suffer loss, eventually. {A} received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on

?s purchase. The letter of guarantee on the Fund?s revenue prepared by him contains the conditions, not in compliance with the Fund scheme. Nukul also received some benefits from the property seller to