Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), was invited to participate in a panel discussion on the topic “How Thailand’s Capital Market Can
payment as ordered by the Settlement Committee. {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in
. SEC Secretary-General Vorapol Socatiyanurak revealed that the Capital Market Supervisory Board recently approved rule revisions to allow underwriters to trade underlying securities of securities
misconduct occurred. Following the inspection report of Globlex Securities Company Limited, the SEC further probed into the case and found that {A} convinced a client to trade securities and derivatives. He
orders where the purchase were initially paid by her family's money and later by her own money.Using client's account to trade securities for her own benefits was in violation to the Notifications of
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
committing undue acts toward his clients? assets and using a client's trading account to trade securities for his own interest and was deemed offenses under the Notification of the Capital Market Supervisory
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1