. Using the client’s identification card left with her to verify the identity, the password of the authorized person to approve the unit redemption transactions, and the client’s internet banking account

indicating unsuitability to be personnel in the capital market business. The SEC strongly urges investors to regularly review their mutual fund unitholding reports and banking account statements

calculation will reflect position risk of assets and cover related business transactions, in line with international standards and the changing market conditions to serve the ongoing business operation and to

-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the

the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

trade securities in the client's account without permission in order to achieve better performance.      {A}'s actions are in violation of Clause 20(1) and 20(2) of the Notification of Capital Market

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

accounts with permission of the account owners. However, the account owners did not authorize those persons in writing.Trading securities and derivatives on behalf of clients and receiving orders from any

to provide securities trading services according to the order of the account owner or the authorized person3. The SEC therefore suspened approval of {B} and {C} as capital market investment consultant

consultant and prohibited her re-entry as capital market personnel for 10 years, starting from December 22, 2015.  On other cases, Nattapon was found accepting orders to trade securities in a client?s account