received and keep the general public from realizing of such obligation. The above offences were in violation of Section 307, 311, 312(1)(2)(3) and 313 of the Securities and Exchange Act of 1992 in several
than what the customer could tolerate.In the case of {B}, who was a securities investment consultant at Thanachart Bank Public Company Limited (TBANK) at the time of misconduct, the SEC received a
facilitate respective payments. Since the account was opened, he continued trading securities through the client's account totaling trading value over B800 million in six months. As a result, {B} received a
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
for asset allocation advice. From the meeting, the SEC received useful comments and suggestions on regulatory issues, such as securities offering and selling agents, and the issues of financial literacy
keep complete records of a number of securities trading orders. He also admitted that he received the trading orders from the client via Line Application and mobile phone.Making trading decision on
accounts and documents, and also prepared incorrect accounts with intention to deceive others about those fraudulent actions.Previously, the SEC had received complaint concerning POWER-P?s suspicious
securities business without license.The SEC received complaints from several foreign residents that they had been solicited to use services and advice of the offenders to make investments and later suffered
investment consultant for a period of five months, effective from February 16, 2013In case of {B}, the SEC received a report from Finansia Syrus Securities Plc., that he had been authorized by his client to
. Network Co., Ltd., and (4) Pat Thamma, director of P.T. Research Co., Ltd., on account of operating derivatives business without license. The SEC received complaints indicating that the aforesaid five firms