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benefits, totaling 341,669 baht. In addition, Somchai arranged a suitability test for the client while giving information inconsistent with facts, and failed to ask the client to sign in acceptance of a
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
caused by {B}, the bank’s branch manager at the time, whose negligence in inspecting and supervising duty performance of {A}, her subordinate, in a reasonable and proper manner, led to opportunities for
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
, as a government organization, has been assigned under the NAP Plan which following UNGPs Guiding Principles to support the business sector in the Thai capital market, especially listed companies, to