, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

Bangkok, November 24, 2009 ? The SEC revoked approval of one investor contact for 10 years on account of dishonest acts, defrauding and interference with a client?s assets, and suspended another for

") and to have a special audit on the company?s relationship with two companies. The details of such items are as follows: 1. A-Land has recognized revenue from a sale of land since 1997. The

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

also publicly disclosed Nongan Saetung ' s inappropriate acts. The Theera Chaowanapreechasilp case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives

trading orders only when obtaining orders from the clients. Even with the client's permission; they cannot make decisions on behalf of the client.  In this regard, {A} and {B}'s actions were in violation of

Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment

. She deceived the client to transfer cash into his account and used the cash for her own securities trading.   {A}'s actions were deemed dishonest, fraud, wrongful use of the clients? assets and