period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
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
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required
Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him