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

report from Phatra Securities Plc. that {A} failed to record many securities trading orders of his clients. {A} admitted that he took such trading orders via mobile phone.Failure to record client's

(1) driving the PK stock price upward, (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed orders

included (1) driving the PROS stock price upward , (2) obstructing others' purchase orders by placing orders at multiple price levels and (3) driving up the opening or the closing prices by placed

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

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of

inside information related to trading orders of securities of fund which was managed by himself and disclosed such information to Miss Monsicha, in which, Miss Monsicha placed trading orders of securities