investment consultants offered for sale of 5-year structured notes to the client. The client made investment based on the understanding that the bank would redeem the notes after six months as from the
securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the
suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the
the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered
Union Gas And Chemicals Ltd. Union Gas And Chemicals Ltd. (Union Gas), by Miss Suchanya Lapvisuthisin as the managing director responsible for the operation of Union Gas, aided and abetted Mr
submit the financial reports to SEC Office within the period specified in the notification as follows : (1) the annual registration statement (Form 56-1) for the year 2019 and (2) the annual report
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
duties as an investment consultant for a longer period, it is deemed that {A} has already served SEC’s suspension in full. Investors are strongly advised not to allow investment consultants or other
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own