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

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

, 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

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

also publicly disclosed Nongan Saetung ' s inappropriate acts. The Theera Chaowanapreechasilp case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives

investor contact for six months as from June 23, 2011. In case of Kruawan, the SEC received the report from United Securities Plc., on its investigation which was conducted upon complaint lodged by a client

Bangkok, August 28, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Sutthasinee Sitti on account of misappropriating client assets

Seamico Securities Plc. (ZMICO), a client filed a complaint that securities in her account had been lost and the SEC?s investigation revealed that Pimon had made unauthorized sales of securities in such

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

from its routine inspection in Asia Plus Securities Plc., that {B} had been authorized by his client to make securities trading decisions on the client's behalf. The communication records showed that {B