clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

offenses against the Securities Law such as fraud, unauthorized fundraising or unlicensed securities business undertaking, remain subject to criminal proceedings by means of criminal complaint filing with

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any

, while the list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website: https://market.sec.or.th/public/idisc/th/InvestorAlert. To notify

suspicious activities or unauthorized business undertakings, please contact the SEC Help Center at Tel: 02-263-6000 or complain@sec.or.th or the AFTC at enforcement@aftc.or.th for further

at www.sec.or.th and via SEC Check First application, while a list of unauthorized individuals outside the SEC supervision is also available at Investor Alert on the SEC website via https

relevant documents and then immediately order to sell the entire fund from the account. {D}, on the other hand, agreed to make whole to the client by compensating all loss incurred from that unauthorized

behavior.On {A} case, her employer reported a complaint lodged by a client against {A}'s unauthorized trading of securities and derivatives. The SEC's further probe on the conversation records between the

derivatives on behalf of a client for over 3 years and he admitted to the misconduct.For {E}, the case was lodged by client of Globlex Securities Co., Ltd. indicating that {E} had made unauthorized derivatives

, the Ministry of Commerce; ?3.? To reduce burdens and costs of preparing financial https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6266 SEC public warning of investment solicitation by unauthorized