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

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under

SEC has issued the rules permitting the derivatives business operators or derivatives agent to carry out capital market product trading service in accordance with the Portfolio Advisory and Program

derivatives trading decisions on the client's behalf.  Upon her client's inquiry, she then informed the client of the transactions which the orders had already been entered or executed. {A} had obtained such

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from

securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised

Teratanavat, (3) Mr. Vijchu Chantatab, and (4) Mrs. Shanya Pengpunpat had collusively manipulated share price and/or trading volume of the Market for Alternative Investment (mai)-listed TIGER between 24-29

of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC