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
THB 416 million, up by THB 292 million or 236.5 due to higher purchase orders from Afghanistan, Yemen, and United Arab Emirates, and orders from new export markets mentioned above. Meanwhile, ICUK still
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
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
Settled | Administrative Orders | Administrative Sanctions | Civil Action Relevant Informations > Criminal Sanction - annual Statistics > Administrative Sanction - annual statistics > Civil Sanction
? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders
orders sent through him for several days. {A} admitted that the securities trading orders were taken via mobile phone; the misconduct of which he had previously committed. In case of {B}, the SEC found
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company