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
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
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
PLC. and the SEC that the client gave him the username and password for submitting the trading orders as the client had just started investing and not familiar with the Internet trading program.Making
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
Advice dated January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities investment consultant for three months, effective from June 27, 2014.
Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), delivered the opening remarks at an annual seminar titled, “Understanding the Thai Capital Market