contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

The SEC jointly with the Thai Bond Market Association (ThaiBMA) launched ?One Step Beyond with Bond Issue? project to encourage the businesses that have never raised fund through bond issuance.  Also

and approval to acquire the entire business from SQL. In this regard, the executive directors or any person will be assigned to have an authorization for consideration, approval or any action which is

, step by step, to the SEC without delay.  In this regard, the Minister of Finance, upon the SEC Board’s recommendation, has determined that Zipmex is still in contravention of the SEC Board’s orders

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

internet banking system to transfer 2,000 baht from a client's account into his own without the client's authorization. {D}'s actions were deemed to be prohibited characteristics of investor contacts in

? behalf. With the said authorization, he traded with high trading volume for a period of time. {A} admitted to Maybank Kim Eng Securities that he used clients' User IDs and passwords to send trading orders

obtaining authorization from client to make securities trading decision on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and