assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth

incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working

SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to

aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the

{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company

duties honestly and seeking unlawful benefits from derivatives investment based on non-public information.Following the SET's referral, the SEC conducted a further investigation and found that {A}, then a

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with

Exchange of Thailand (SET) and the SEC's further investigation, Sarath, TOG Vice President, Business Planning and Finance, had access to the information that the net profit of the company had increased

According to the information from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that from 25 July to 9 August 2017 (a total of 11 business days) Surin had been