Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and
found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
found that Bantherngsak gave the client mutual fund investment advice describing that the principal would not be affected. The said advice was given, even though the client made investment in a mixed fund
account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12
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
information in materiality for client's investment decision making. Following a report on the client's complaint filed by the Ministry of Finance, the SEC further probed into the case and found that {A} gave
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
Limited while the misconduct occurred. Following the inspection report of Tisco Securities Company Limited, the SEC further probed into the case and found that Napat submitted a number of securities and