, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

client and seeking benefits from the client during the performance of duties.   From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf

broker, by itself or by assigning overseas derivatives business operator as agent, may provide client with service of submitting derivatives trading order in overseas derivatives exchange. Clause 4. In

records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make

investigation, Sakkarin was found to have acted in the following manners:   (1)  Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and