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
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
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
, and the non–audit service fee received or accepted from each client thereof (on the accrual basis) for the year ending (the last day of the pervious accounting period
, and the non–audit service fee received or accepted from each client thereof (on the accrual basis) for the year ending (the last day of the pervious accounting period
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