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
Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities https://www.sec.or.th/TH/Pages/News_Detail.aspx?SECID=10361
Boonsat, Director of the Thai Digital Assets AssociationMr. Kietisak Limpacharoenkul, Senior Vice President Client Network Management Department, Krungsri Securities https://www.sec.or.th/TH/Pages
Re: Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. 1. Kittipong Piyasakulsiri (three-month suspension) ? Having used a client?s account to trade securities for himself
, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders
securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account
suspension) ? advising a client to divide his money into multiple less than two-million baht deposit transactions to a bank account of the securities company where the client had a trading account to evade the