Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands
. ____________________ * The execution of trading orders of capital market products based on an automated program that runs product selection and trading placement without interference from any factors and according
? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the
clients? behalf.The misconducts of Veerachai and Jakkrit were deemed interference with clients? assets in concealment, fabrication of false evidence and exploitation of investors? trading accounts to seek
orders without client authorization are deemed interference with clients assets and unprofessional duty performance without clients best interest in mind. Such misconducts may cause damage to clients and
. Therefore, furnishing workable capital structures for innovative and creative businesses can foster such businesses to become flourish and sustainable. As financial advisors, members of the Club are ready to
and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits
person under (6) makes interference with the subscription or allotment of securities of the securities company which manages such mutual fund so that such mutual fund obtains benefits in such a manner that
amount not exceeding fifty percent of the total outstanding investment units and in which the person under (6) makes interference with the subscription or allotment of securities of the securities company
fifty percent of the total outstanding investment units and in which the person under (1) makes interference with the subscription or allotment of securities of the securities company which manages such