deposit made for a due diligence on A Day amounting to 120 million baht. The SEC viewed that POLAR ' s statement on the above issues is unclear. In addition, POLAR is currently unable to submit its

applicant?s advance rental payment made to such counterparty, although the applicant?s former headquarter was at the same place as the mentioned counterparty and another related person. (4)  Information on

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

spot market, open trading accounts and trade through website www.goldexasia.com.  It was, however, found that there was no gold delivery while payments were not made in full for trading transactions

probed into the case and found conversation in the LINE Application that {A} traded securities for herself through the client's securities trading account. During a certain period of time, she made a

into the case and found conversation in the LINE Application that {A} traded securities for herself through the client?s securities trading account. During a certain period of time, she made a number of

study on asset allocation for retirement savings in a group of working age investors. The allocation was made among common stocks, bonds, bank deposit and gold in appropriate mix adjustable through life

}, GSTEL executive and (4) {D}, GJS director and executive. The SEC found that in early 2008, GSTEL and GJS, its subsidiary, made advance purchase orders of a large amount of steel from overseas suppliers at

making written authorization. Later, such client made the written authorization allowing her brother to submit trading orders on her behalf. Failure to keep complete record of trading orders and failure to

for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and