Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client. Following a report
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material