, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf

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

securities of her client without authorization and taking the profits from the sales of such securities for her own personal gain. Amornrat deceived the client into transferring the profit money to her

client assets, giving false information with the intention to deceive clients, and interfering with client assets. The SEC found Sugunya?s misconducts as follows: 1. Deceiving a client to transfer

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

report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in the request form for a change of client?s address in order to prevent such client from receiving

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was

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

, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her