Bangkok, August 28, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Sutthasinee Sitti on account of misappropriating client assets

from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B

)    Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

Seamico Securities Plc. (ZMICO), a client filed a complaint that securities in her account had been lost and the SEC?s investigation revealed that Pimon had made unauthorized sales of securities in such

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

with a client?s assets and dishonest acts. Also, a one-year probation was imposed on Surawadee Sriprasert on account of using a client?s account to avoid over credit line limit of another client, and the

regulations of all daily routines. In addition, the know your client rule must be adopted to identify the client?s investment objectives and actual beneficial owners. Informing clients of risks that may arise

from the clients? trading accounts, using a client?s account for securities trading of another client to avoid exceeding credit limit, and making unauthorized trading decisions without clients? orders

intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital