Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
ก.ล.ต. ตรวจสอบการดำเนินงานตามปกติ (routine inspection) พบว่า {ก} ไม่บันทึกการรับคำสั่งซื้อขายสัญญาซื้อขายล่วงหน้าของลูกค้าให้ครบถ้วนในปริมาณการซื้อขายที่สูง และ {ข} จัดทำเอกสารหลักฐานการรับคำสั่งซื้อขาย
ตลาดหลักทรัพย์แห่งประเทศไทยให้ตรวจสอบการปฏิบัติหน้าที่ผู้แนะนำการลงทุน และกรณี {ข} และ {ค} ก.ล.ต. ได้ตรวจสอบการปฏิบัติหน้าที่ผู้แนะนำการลงทุนตามปกติ (routine inspection) ซึ่งจากการตรวจสอบพบว่า ผู้แนะนำการลงทุนทั้ง
from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B
securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine