affirmed that he had learned of {A}'s trading on his behalf. In this case, {A} has paid compensation to the client already.Making securities trading decisions on behalf of client is in violation of Clause 20

either contract amount or price. {A} then submitted derivatives trading orders on the client's behalf whereas the client affirmed that he had learned of the trading and allowed {A} to do so. Making

Bangkok, January 30, 2014 ? The SEC affirmed the instruction for Bee Taechaubol to promptly rectify the tender offer for Electronics Industry Plc. (EIC)?s shares as specified by the tender offer

baht for the violation which occurred during August 18- October 7, 1992. The execution of imprisonments were not suspended.Later, the Appeal Court affirmed and amended the Bangkok South Criminal Court's

baht for the violation which occurred during August 18- October 7, 1992. The execution of imprisonments were not suspended.Later, the Appeal Court affirmed and amended the Bangkok South Criminal Court?s

regulators affirmed their intention to continue working together for further fruitful collaboration and strengthen the relationship between them._________________________

, each jail term was reduced to five years and four months, making a total of 10 years and 8 months without suspension. On December 22, 2015, the Appeal court affirmed the judgment of the Criminal Court

acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of

overseen by experts, all aimed at creating an illusion of trustworthiness. In addition, the SEC continues to prevent investment scams in various manners, as follows:           (1) Posting on the

DODD-FRANK ACT • Financial crisis revealed behemoth players in financial industry were not overseen by any regulatory authority • Dodd-Frank mandated additional SEC oversight on PE and HF firms JUNE 22