record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients

Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases

, for three months starting from September 1, 2011, and also reprimanded another two investor contacts, (1) {C} and (2) {D} for interfering with client's assets. In case of {A}, the SEC received a report

on reasonableness of the assumption and dilution effects to shareholders in case where all conversion rights will be exercised (worst case scenario). Furthermore, the SEC?s consideration period will be

from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of

initial public offering in Thailand and other countries simultaneously or in proximate period. In case of secondary listing, however, if foreign companies are subject to home regulators and home exchanges

characteristics of director and executive of a publicly held company. This caused the termination of their directorship and executive position by the provision of the SEA. In any case, the filing of a criminal

(Thailand)?s  report submitted to the SET on irregularity of some futures trading price in TFEX as sold by the company?s clients in January 2014. In any case, filing a criminal complaint commences the

. For example, the revision will improve dispute conditions between securities and derivatives companies and clients through arbitration procedures.? In the case of making a reservation of right, the

investment consultant of Asia Plus Securities Plc.  Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading