Securities Company Limited, had made trading orders before informing the client who did not make any objection and made payments for the trading transactions. The trading activities involved shares and

country, to internet trading clients of asset management companies which are their business alliances. Certainly, investment in mutual funds in ?A thousand baht, Start a journey to your dream? Project could

with the amendment to the Securities and Exchange Act. SET member and non-SET member securities firms will be allowed to trade listed securities outside the stock exchange only a case that trading is

that during 4 January 2013 - 15 October 2014 {A}, then working for Thanachart Securities Public Company Limited, used the trading account of a client who was his mother to trade securities for himself

Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from

such information from their positions as CEO and chief finance officer, respectively. The information was about allowance for doubtful account on trade accounts receivable resulting in TUCC operating

Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

? Engineering, had sold 5,950,000 EMC shares and 8,900,000 units of warrants to purchase EMC shares (EMC-W3) in his ex-wife trading account. The selling was based on non-public information concerning the

trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of

} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet