investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

benefits for himself and the others and exploiting client assets, is deemed failure to perform duties or provide services with loyalty, which are considered prohibited characteristics of capital market

Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and

derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit

other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through her securities trading account on continual basis and in concealment to mislead

Bangkok, February 4, 2013 - The SEC suspended two capital market investment consultants, namely, {B} and {C}, as well as, two securities investment consultants, namely, {A} and {D} (formerly {F}), of

securities trading account to trade securities for others and accepting authorization to make securities trading decision on behalf of client, in violation of Clause 20(1) and (2) of the Notification of

account to trade securities for the benefit of themselves or others. {H}'s action was deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and giving

for investment consultants.As a result, she was disqualified from being investment consultant under Clause 18(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital