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

of conduct. 1) In case of {A}: the SEC obtained from Kim Eng Securities (Thailand) Plc. a report on its investigation in response to a complaint lodged by a client. {A} admitted that during the year

Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint

, effective from February 16, 2010, and put one-year probation on Nitiwat Jurawathee and Ditipan Mokdara, effective from February 16 and 23, 2010, respectively.  In the case of Chirawan, the SEC obtained from

records that {B} had obtained authorization to trade derivatives for the client. He then proceeded to take the actions with such permission.In performing their duty, an investment consultant can send

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the

provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

Sanction Mr. Pisnu Pirungkapourah Following order of person who is not an account owner or authorized by the client causing damages to such client

Chanmoosik, a former marketing officer of Finansa Securities Limited. 1.In the case of Sarinrat, her employer reported that she had obtained personal benefits dishonestly by forging signature to withdraw money