failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading

filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

client during the performance of duties.   From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that {A} submitted securities trading orders before notifying a

information of Montri Fund scheme and fund prospectus, the SEC probed into the case and found that he inaccurately specified the age of a building purchased by Montri Fund which was, in fact, many years older

: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then

her approval and banned her re-entry into the industry for two years.Also reported by his employer Bualuang Securities PLC, the SEC probed into {B} case and found that {B} had been entrusted to trade

manager, (7) Darunee Phu-ngoen, personal assistant to Suthisak, and (8) Paphawin Pinwatthana, personal secretary to Suthisak, for falsifying documents and accounts and/or siphoning.The SEC probed into the

material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client