investigation, Sakkarin was found to have acted in the following manners: (1) Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
the portion not exceeding value of the collateral; (b) collateral payables; (c) payable to client account; (d) securities sold under the repurchase agreement; (4) other liabilities as stipulated by the
and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and
Limited (Oishi Trading), a subsidiary of the Company, and Sura Piset Pattharalanna Company Limited (Sura Piset Pattharalanna), connected entity, in renewal of lease agreement, service agreement and