Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisi...
consultant approval status. In addition, the SEC suspended other three investment consultants: (1) {B}, then an employee of Finansa Securities Co., Ltd.; (2) {C} of BT Securities Co., Ltd. (presently CIMB
Bangkok, May 2, 2013 - The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) {A} of Bualuang Securities Plc. for two months; (2) {B} of RHB OSK
client gave them the authority to take care of the account. As such, both investment consultants had entered securities trading orders on the client's behalf and then informed the client afterwards. {B
Bangkok, October 15, 2012 - The SEC imposed administrative sanctions on six investment consultants by (1) suspending five investment analysts/consultants {A} of Asia Plus Plc., {B} of Kasikorn
Bangkok, December 4, 2012 - The SEC suspended {A} of Finansia Syrus Securities PLC for four months and 15 days; and also suspended {B} of Hua Seng Heng Gold Futures Co., Ltd. for three months, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf and then inform the client afterward. {A} admitted that her client had authorized her to help adjus...
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and KTB Securities? investigation report. From the SEC probe, it was found that the complainant was l...
Investment Advice dated January 18, 2012. Accordingly, the SEC suspended {A} for two months and {B} for one month from their duties as the approved securities investment consultants.
Montpelier Financial Consultants : Unlicensed securities and derivatives business (Disclosure Date : 04/04/2013)