Miss Nawarat Sukcharoensin Miss Nawarat Sukcharoensin, in collaboration with her brother (Mr. Surawut Sukcharoensin who was Director, Executive Director, and Chief Strategy Officer of L.P.N

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment

Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment

wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

Bangkok, April 25, 2013 - The SEC suspended {A} of KT Zmico Securities Co., Ltd., for five months. The KT Zmico Securities Co., Ltd. reported to the SEC that {A} had been authorized by her clients to

because the highest price on that day was lower and was decreasing during the submission of selling order. She also admitted sending the trading orders without her client's order from January 9, 2014 to