Following an inspection report from SCB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units, SEC conducted a further inquiry and

securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared

{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients

qualifications of CIS to be offered to non-retail investor in Thailand, conditions relating to offer of CIS, duty of selling agent as well as procedure for filing of application for inspection on qualifications of

, duty of selling agent as well as procedure for filing of application for inspection on qualifications of CIS and allocation of quota for offshore securities investment. Stakeholders and the interested

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

. Instead, other shareholders bought the said unsubscribed portion at the price lower than book value. Despite the audit committee?s inspection on the matters, the auditor issued a disclaimer of opinion

, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found  that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and

reflected the SEC?s effort in the past years in implementing more stringent inspection on audit quality assurance system of audit firms. The quality of audit activities of Thai listed companies thus conforms

SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make