Saroj submitted securities trading orders before notifying a client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. Acting Sub-lieutenant Saroj

clients?complaint about Chalerm?s conducts. It was found that Chalerm had received securities and derivatives trading orders from clients, but there was no evidence that those orders had actually been

that Sagha Sakulekpaisan (former name: Chakchai (Thana) Sae Jiem, also known as ?Here-Tee") had sent, through the accounts of eight persons, trading orders of FOCUS shares during April 24-25, 2008, IFEC

(SEA).  The SEC will later work on details of regulations.2. LBDU licensees that submit orders for investment unit trading through members of the Stock Exchange of Thailand (SET) must comply with net

period and also made trading decisions during January 5-6, 2012 which Theera failed to prove that the orders were sent according to the client?s instruction.The Nongan Saetung case was also submitted by

which {A} failed to prove that the orders were sent according to the client's instruction.The {B} case was also submitted by his employer. The SEC then probed into the case and found from conversation

} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation

filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, 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 {A} submitted securities trading orders before notifying a

. Such power and duty shall include: (1) the issuance of rules, regulations, notifications, orders, directives or stipulations under this Act; (2) the determination of application fees, license fees