Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the
intermediary shall comply with. In this regard, the intermediary shall provide services by taking into 2 account the best interests of a client, protection of client’s interests, and preventing the causes of
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of