BANGKOK, December 12, 2006 ? The SEC has revoked the approval for investor contact Vitaya Kongkeaw and put another investor contact Lat Charnanurak on suspension, both for violating the Rules of Conduct for approved investor contacts. Vitaya was found to have deceived his client on several occasions by telling the client to transfer money to Vitaya?s own banking account, at the total amount of 1.58 million baht, and lying that the transferred money would be paid for securities subscriptions...
Bangkok, August 5, 2009 ? The SEC imposed sanctions on two investor contacts for non-compliance with professional standards of conduct. In the case of Pimon Raksurong, former marketing officer of
Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisi...
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit a selling order for the securities in such account. It was found that prior to the transactio...
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the orders were sent through over the internet and under her securities trader ID while the client acknowle...
Bangkok, December 29, 2008 ? The SEC has revoked its approval for the investor contact status of Sarinrat Pongakramorn, a former bank officer, and imposed a one-year suspension on Surachada Chanmoosik, a former marketing officer of Finansa Securities Limited. 1.In the case of Sarinrat, her employer reported that she had obtained personal benefits dishonestly by forging signature to withdraw money from a client?s account, which was deemed a breach of duty. She was also found to have acted in such...
Bangkok, December 1, 2008 ? The SEC imposed administrative sanctions on four investor contacts, as follows: 1.Pongsa Charoensettasi (revocation): Following investor complaints and his employer
Bangkok, October 15, 2008 ? The SEC imposed administrative sanctions on three investor contacts whose misconducts and respective penalties are as follows: 1. Preeyanuch Anuvongkul (revocation