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
distinct and different offences. The defendants were convicted according to Section 91 of the Penal Code. As defendants had made confession, which was beneficial to the case, the Court commuted the
Court ruled against the accused for violating Section 56, Section 274 paragraph 1, and Section 300 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the
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
committed the several distinct and different offences, the Court inflicted the punishment prescribed for each offence as follows: (1) for 18 counts of dishonest and failure to discharge his duty as director
areas such as Digital and Business Continuity to provide best in class support to our business segments. Our recent leadership re-organization, 16 distinct business verticals within 3 business segments
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