received for injured parties, to educate attendees on class action for clearer understanding.

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

limitation on examination by the company?s executives regarding the company?s misuse of proceeds received from increase of capital by investing in common shares and warrants of P Plus P Plc. The proceeds used

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

while in fact the person had received investment advice from another Kasikornthai employee who was not an approved investment consultant. {B}, the manager of the branch where the client received

the issuer to support sufficient distribution to retail investors.The proposed amendments have taken into account stakeholders? opinions received from the hearing on the guiding principles conducted in

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

Bangkok, December 16, 2013 ? SEC voted ?The Best Information Booth? award for the medium-sized booth category at SET in the City 2013. SEC Assistant Secretary-General Waratchya Srimachand received

-General Vorapol Socatiyanurak received the ?Outstanding Booth? award from General Surayud Chulanont, Privy Councillor, at ?Money & Banking Awards 2013? on June 14, 2013. The award is in recognition of the

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received