client accepted the proposed transactions. At the end of trading day, {A} notified the amount of money to be received or paid whereas the client did not reject or decline the transactions. In case of {B
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
the client. Over a year and a half, a number of orders were day trading and submitted almost every day in the speculative trading pattern by {A} who had determined the securities, amount and price. The
Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months. In the case of {A}, the SEC found that he had taken trading orders
the client securities trading account as collateral. In this case, {A} had continuously done day trading of client securities for 25 working days worth approximately 109 million baht, resulting in her
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
his approved investment consultant status had expired earlier, the SEC will not consider an application for approval as capital market personnel for two years. Taking into account of a 16 day suspension
investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain