9, 2006 - January 25, 2007. The SEC probed into the case and found that Krit aided and abetted manipulation of ASCON share price by allowing the accounts for securities trading and bank deposit to be

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

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

Plc. (TWZ). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ shares, the SEC probed into the case and found that such irregular trading (1) from September 28 to

client and acted irresponsible for the consequence of her action. The SEC probed into the case and found that {A} had made trading decision for such client in a manner that executing orders prior informing

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

Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed

client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading

benefit.Following a report of Bualuang Securities Plc., on {A} case the SEC probed into the case and found that he used computer with Bualuang Securities' IP Address to submit the trading orders via client's internet

Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading