Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re

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

and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with

benefit of themselves or others. The SEC therefore imposed the following sanctions:*Revocation of {C} and {D}'s approval status as capital market investment consultant and will not consider their

Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a

Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc

.   ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager,  is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31

Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of personnel in the capital market business under Clause 6(1) of

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and