Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed

, 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, 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

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, 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

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

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

)    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

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