the transactions. Failure to record the client's securities trading orders and obtaining authorization to make securities trading decisions on behalf of the client are, respectively, in violation of

consultants were more knowledgeable or had better information than them. A number of clients were affected from trading and suffered losses. In many cases, the authorization led to trading more than the clients

Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

Application for Approval and Granting of Approval for Offering of Newly Issued Shares

Rules on Application for Approval and Granting of Approval to Undertake Trust Business

Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn

Commission Re: Guidelines for Application and Approval for Appointment of Person to be Director or Manager of Securities Company B.E. 2553 (2010) _________ Whereas the first paragraph of Section 104 of the

derivatives and securities trade order instructions, respectively. Obtaining authorization to make securities trading decisions on behalf of the client and failing to keep records of clients? derivatives or

clients who were his friends, while {A} took such orders without any written authorization from those 12 clients.{A}'s action was deemed failure to perform duties with responsibility and due care as the

client's child, as well as sometimes taking orders via mobile phone.{A}'s actions were deemed as obtaining authorization from client to make securities trading decisions on behalf of client; taking