to have call center in order to give information to the client, such call center shall at least provide a service through out the office hour of such securities company; (b) Promote or publicize to the

Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s

, 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

trade securities for his own benefits through such client?s account. Trading securities on behalf of client, making trading decision without the client?s orders in the client?s securities trading

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, 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

investigation, Sakkarin was found to have acted in the following manners:   (1)  Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio

structures to focus appropriately on client or beneficiary interests. In considering what time- horizons are appropriate, institutional investors will need to consider the best interests of their clients and

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the