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

his employer. The SEC then probed into the case and found from conversation records that Nongun had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with

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

Commercial Bank PLC. (SCB), the SEC further probed into the case and found that {A} signed the form of buy/sell order for investment units without performing duties as an investment consultant.  The client

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders.  Following a report from Bualuang Securities PLC., the SEC further probed into the case

by a group of persons during July 21 - August 20, 2008, the SEC probed into the case and found that {A} {B} {C} {D} {E} and four other accomplices had colluded to trade UKEM shares through seven

the Securities and Exchange Act B.E. 2535(1992) (SEA) in conjunction with Section 83 of the Penal Code.  The DSI and public prosecutors probed into the case and decided to pursue charges against them

securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A