incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were...
receiving appropriate level of protection. AI comprises (1) institutional investor* such as commercial bank, mutual fund, provident fund and (2) investors with high net worth, which means (i) an individual
Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
are underestimated and (3) familiarity bias: making decision based on familiarity such as investing in the firm for which the investor is working. As the regulator, the SEC has put more weight on
Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East
development. The SEC urged TIA to consider the possibility to become independent investment advisory institute supporting Thai capital market development. The institute could be a center for investor education