failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment

, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment.  In so doing, they solicited and invited persons who wanted to invest in

Sakkarin while in fact Sakkarin did not execute any purchase order of such shares. Later, Sakkarin lied to the client that his shares in the client's account had been sold with capital gain and he wanted his

of SK1 shares at the amount of 100 million baht. This was done after SK1 had been placed in absolute receivership by the Central Bankruptcy Court's order. Bhusana knew of the fact but still wanted IEC

issues. The Council of Institutional Investors’ primer Filing a Shareowner Proposal: Everything You Ever Wanted to Know But Were Afraid to Ask details the basics, including the following: Ownership