already investigated TTA shareholding structure and request explanation from relevant persons. Under the SEC regulations, any person and persons hold or announce intention to hold at least 25% stake in TTA

misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

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

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

. The SEC probed into the case and found that {B} traded securities on behalf of his client. He submitted trading orders through client's account and informed him afterwards. He also traded securities

Act B.E. 2535 (1992) (SEA). The audit committee twice reported that no wrongdoing was found and that the inadequacies in TUCC?s internal control, without any sign of fraud. The SEC probed into the case

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