trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as
follows. 1. Net premium written for this year was 463.19 million baht, increased from last year by 199.63 million baht or 75.74%, due to the increase of gross premium written 141.11 million baht or 23.14
suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior. The SEC found from its routine inspection that {A
(Thailand) Plc. Earlier, the SEC found in a routine inspection of Maybank Kim Eng Securities (Thailand) Plc., that {A} had been authorized by his clients to make securities trading decisions on the clients
) 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
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} ไม่บันทึกการรับคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าของลูกค้าให้ครบถ้วนในปริมาณการซื้อขายที่สูง และ {ข} จัดทำเอกสารหลักฐานการรับคำสั่งซื้อขาย
ตลาดหลักทรัพย์แห่งประเทศไทยให้ตรวจสอบการปฏิบัติหน้าที่ผู้แนะนำการลงทุน และกรณี {ข} และ {ค} ก.ล.ต. ได้ตรวจสอบการปฏิบัติหน้าที่ผู้แนะนำการลงทุนตามปกติ (routine inspection) ซึ่งจากการตรวจสอบพบว่า ผู้แนะนำการลงทุนทั้ง
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
profit from underwriting decreased by 11.83 million Baht due to significant fact that earned premium and commission and brokerage income from reinsurers dropped by 4.3 million Baht. The ratio of net claim