Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was
customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities
Bangkok, April 25, 2013 - The SEC suspended {A} of KT Zmico Securities Co., Ltd., for five months. The KT Zmico Securities Co., Ltd. reported to the SEC that {A} had been authorized by her clients to
quarter of 2016 to the third quarter of 2017 of seven listed company clients by taking advantage of Mr. Warot’s authorized access to the draft financial statements in the EY information system and the
. Simultaneously, Kiatichai, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya
, Suraphong (managing director and authorized person for trading in the NPP securities trading account), NPP, Rinnapa whose beneficiary in her securities account was Suraphong, Patinya, and Kingkarn whose