provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
) Elevating the e-KYC standard, which SEC would issue a guideline for the licensed entity to introduce the technology in getting to know the clients, to strengthen the assurance on their Know Your Client
client and seeking benefits from the client during the performance of duties. From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make
investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio