Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet
.*Clauses 20(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving
prior to the specified period will be subject to tax penalty. The client insisted on selling those units, reasoning that he did not claim LTF tax benefits from this portion. {A}, however, did not inform
on behalf of clients.Following the report of Kasikorn Securities Plc., the SEC probed into the case and found that {A} had been authorized by two clients to make derivatives and securities trading
: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered securities; nor contain any assurance in relation to the value or returns on the