inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the

three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives

same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which has rendered improper benefit to a client differentiated from it

ground of inappropriate price. The average price of the seven plots of land is 1,336.81 million baht, 164-236 million baht higher than the prices appraised by Knight Frank Chartered (Thailand) Co. Ltd

Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a

also publicly disclosed Nongan Saetung ' s inappropriate acts. The Theera Chaowanapreechasilp case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives

} 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

benefactors, and thus weakened the prevention of improper client activities. Under such circumstance, if a client committed any wrongdoing, the company could be deemed to have supported or participated in such

and prevent misuse of legal loopholes to offer services of unregulated businesses, which may cause damage to, or inappropriate services for, the public.The SEC will conduct a public hearing on the

inappropriate and deemed as interfering with client's assets.As both investor contacts' actions are in violation of Clause 14(2) of the Notification of the Office of the Securities and Exchange Commission No