Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, January 17, 2014 ? The SEC is seeking public comment on proposed revisions to the rules on prevention and management of conflicts of interest and proprietary trading applicable to both
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of
} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet
Bangkok, February 19, 2013 ? The SEC has reiterated securities companies to instruct investment consultants to give securities trading advice based primarily on fundamental factors of securities