agenda was to discuss fundraising for business expansion, as earlier appeared on a newspaper, was entirely unfounded, while in fact he knew fully well that the fundraising had already been considered by

Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of

the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment

was no evidence that the client had ordered the responsible investment consultant to do so.    Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct

during February 2 ? May 15, 2012, Bordin and Noparat had colluded or mutually agreed to use four securities trading accounts of other persons to trade PYLON shares in concealment to inflate the price and

nationality, on account of operating securities business without license.? Several foreign investors informed the SEC that Mr. Malpass, who resided in Thailand, had solicited them to transfer their pension

Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

referral from the Stock Exchange of Thailand, the SEC probed into the case and found that on September 16, 2013, {A} had traded 130.12 million SSI shares by placing a total of 299 trading orders through

a selling order for the securities in such account. It was found that prior to the transaction, {A} had learnt of the identity of the securities' beneficial owner who was not the account owner

*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for 2 months. Having considered that {A} had already been suspended by her employer for a month, the