approved capital market investment consultant for two months. The sanctions took effect from July 31, 2013. In addition, the SEC disclosed inappropriate behavior of an approved securities investment
Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigatio...
Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval of securities public offering ("the applicant") as follows: 1. Incomplete disclosure concerning reliance on the applicant?s major counterparties, which might have been misleading. The applicant?s documents indicated that its total revenues relied on six major counterparties, accounting for 49 percen...
Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are as follows: 1. Suspended Ashiya Ashiyakul from his duty as the approved capital market
securities companies? rules strictly and do not meddle with the client's assets and trading account or submit trading order via the internet with the IP address of securities firm. **Details of sanctions are
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisi...
Securities International (Thailand) Plc.); and (3) {D}, then an employee of BFIT Co., Ltd. (presently OSK Securities (Thailand) Plc.). The sanctions imposed on these four persons took effect from April 20
Bangkok, May 2, 2013 - The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) {A} of Bualuang Securities Plc. for two months; (2) {B} of RHB OSK Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months. In the case of {A}, the SEC found that he had taken trading orders from a person being neither account owner nor account owner's appointee. In addition, he had p...