client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing

received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on behalf of client and seeking benefits from the client during the performance of duties

units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units

prices in the approximate periods that caused the client to suffer loss, eventually. {A} received large incentive amount; over 90 percent of which was from the account of this client. Trading securities on

used a client's account to transfer and keep the acquired shares. {C} obtained a discount from the purchase and profit from selling some PAO shares to his two clients and {E}, another investment

market business personnel for a period of 10 years, effective from 28 April 2026***.In determining the aforementioned period, the SEC took into account several factors, including the individual’s relevant

trading in his sister’s account opened with the RHB and did not return the money to investors as agreed, causing damage to the investors.Phisit’s misconduct, using clients’ trading accounts to seek

Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing

investor contact of Asia Plus Securities Plc., is suspended for six months after findings indicated that he had traded securities in a client's account for another person for more than a year by taking

from a person being neither account owner nor account owner's appointee and failing to keep confidential client's information. In addition, the SEC suspended him from duty as an approved capital market