Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and

study the information carefully before making investment decisions. The responsible underwriter must hand out the factsheet and the subscription form at sale points while securities firms must conduct the

from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B

found that {A} had been authorized by his client to make securities trading decisions on the client's behalf with high trading volume. The communication record showed that {A} traded the securities and

honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company

) Plc., the SEC probed into the case and found that {B} and {A} had been authorized by their client to make securities trading decisions on the client? s behalf. {B} admitted that she has been authorized

trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of

} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet

. This included providing valuable investment advice enabling investors to make effective financial decisions and utilize the capital market for wealth accumulation. This initiative is in line with the

. Additionally, the SEC has been raising awareness among investors through various media and providing tools for verifying information before making investment decisions, such as the "SEC Check First" application