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
) Rectifying the operation under work systems, i.e., the trading system, the deposit and withdrawal system for money and digital assets, the client assets information system, the client contact and
March this year.The key changes to the rules include: - To re-define the term, ?patron? as any person who makes contribution to the issuer clearly and continuously, or any person who has a potential to
), which could subsequently cause irregular trading after the securities listing. The proposed key changes concerning IPO share allocation are: 1. To redefine the term, ?patron? as any person who makes
intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the causes of damage to investors and appearance of Thai capital
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment