client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading

Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from

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

appropriately and sufficiently in line with the number of clients and the transaction volume;  2)    Rectifying the client acceptance policy to be consistent with the work systems capable of providing services

or giving any advice to the client, he signed such selling order form in the capacity of an investment consultant. In addition, he neither examined the transaction nor requested for additional

-your-client and due diligence, custody of clients? assets and transaction verification to ensure that client services are efficient and to prevent exploitation of securities firms for improper gains

check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The