, the SEC will file a criminal complaint for further legal proceedings. Due to his misconduct, {A} is deemed to have prohibited characteristics of capital market personnel as specified in the
. In addition, efficiency of legal enforcement will be enhanced by improving timeframes of case management on investigation and complaint handling, and cooperating with relevant agencies such as the SET
trading decision on client's behalf.The SEC also received complaint lodged by client of Classic Gold Futures Co. Ltd. that {F} had traded gold futures for client beyond client's instruction. The SEC found
consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and
revoked. In addition, {A} and {H} were suspended from their duties as an approved investment analyst and an approved investment consultant, respectively. Following investor complaint and report from Country
and Training Program) (4) กระบวนการขาย (Sales Process) (5) การกำหนดวิธีจ่ายค่าตอบแทน (Remuneration Structure) (6) การจัดการเรื่องร้องเรียน (Complaint Handling
, in the case there is a complaint of the customer relating to such tape recording during such period, it shall be kept until the end of the process of such complaint; (5) a document showing the
an application for consideration; (4) being named in a criminal complaint by the SEC Office or subject to any legal proceedings following the criminal complaint initiated by the SEC Office or having
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company