Ms. Jittikarn Wongkampoo, Director of Corporate Communication Department, the Securities and Exchange Commission (SEC), engaged in a discussion on “Strengthening Collaboration against Scams for a

Yooyuen, SEC Deputy Secretary-General (second left)8. Ms. Panisara Plodmechai, SEC Senior Executive Officer, Corporate Communication Department (far left)

communication system, the system for client registration, confirmation and Know-Your-Client (KYC) identification and account opening, the complaint handling system, and the human resources management

communication between the company and investors in terms of education, mutual understanding and good relationship.?All three internal units perform back office functions which are of course no less important than

into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close

made available, including articles as well as local and international developments in such areas while ?AC Corner? has been set up as a communication channel with audit committees. Furthermore, the

Kasikorn Securities Plc., the SEC probed into {A}'s case and found certain communication record, which he later admitted, indicating that he had been authorized by his client to make securities trading

had received the trading orders from the client's authorized person via mobile phone. The SEC further probed into the case and found communication record between {A} and the client's authorized person

Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication

well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality