Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
enables easy and instant access to a wide variety of investment options, including those innovative ones. In addition, publicity of alerts and warnings to raise awareness and educate people about
no permission from the SEC. There were lots of victim falling into such pitfalls these days. The SEC has issued investor alerts in this matter and further placed emphasis the need for the public to
. Investors are strongly advised to consult the SEC list of licensed and registered intermediaries under the License Check and Investor Alerts banners at www.sec.or.th. Whistleblowers may report clues or
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
, which provides alerts when a transaction is conducted via the K PLUS application, as well as ongoing promotional campaigns to promote QR code payment. We also launched a life insurance product for
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
However, the submitted information still lacks main points to accompany consideration. The SEC has therefore instructed Zipmex in writing to provide complete details of the incident, which includes