misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
: www.ppi-advisory.com to lure investing public that it had very knowledgeable and experienced adviser team to provide appropriate investment advice and management for the clients. The SEC probed into the
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
complaint and inspection report of Maybank Kim Eng Securities (Thailand) Plc, the SEC further probed into the case and found that {A} traded securities on behalf of a number of clients. He traded securities
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
} 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