Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client

provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

Re: Approval of Investor Contacts and Standards of Conduct dated 21 June 2005. 1. Kittipong Piyasakulsiri (three-month suspension) ? Having used a client?s account to trade securities for himself

, indicating that he had been authorized by his client to make securities trading decisions on the client's behalf. The communication record showed that {A} called to inform his client of the trading orders

securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account

suspension) ? advising a client to divide his money into multiple less than two-million baht deposit transactions to a bank account of the securities company where the client had a trading account to evade the

client and seeking benefits from the client during the performance of duties.   From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant

Bangkok, November 24, 2009 ? The SEC revoked approval of one investor contact for 10 years on account of dishonest acts, defrauding and interference with a client?s assets, and suspended another for

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

dated December 21,2000 Buying and selling securities using client 's account without client ' s order One-year probation starting August 31