trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of

trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client's account of approximately 600,000 - 700,000 baht. Since then, his client told

Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he

decisions for them. From October 2012 to March 2013, he made trading decisions on behalf of the clients on a continuous basis with more than 300 million baht in trading value. Moreover, he traded for the

: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital

derivative warrant but did not inform the client of maturity date. In addition, there was no source of trading orders of her clients where {A} described that the clients submitted trading orders via mobile

client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or

E_1 Legal_FA_2015_12_29-c A CorpL4.1hig A Executive Summary of Management Discussion and Analysis 1 For the Year Ending December 31, 2019 Thai economy in 2019 showed decelerating growth at 2.4

Mr. SUPORNCHAI SIRIWOHARN Mr. Supornchai Siriwoharn, the chief executive officer of the International Engineering Public Company Limited (“IEC”), a person responsible for the operation of IEC to

Office in accordance with the rules, conditions and procedures specified in the notification of the SEC. The securities company may act as a custodian for the person who has authorized it to manage the