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, 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

misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the

Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

derivatives trading account. {A} admitted that he asked for internet trading account's username and password of a client who authorized him to use the account to trade derivatives trading for his own benefit

the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

client’s account to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a

to her own account. Moreover, there was a cash withdrawal of 1 million baht at a bank counter for which the client had signed on the withdrawal slip in advance without writing down a specific amount