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
well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order that the client would realize the importance of asset allocation and
the following factors as well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order that the client would realize the importance
. In this regard, it shall take into account the following factors as well: (1) the result of the client categorization; (2) the result of assessing suitability; (3) fundamental recommendation in order
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