Securities and Exchange Commission No. KorThor. 68/2547 Re: Custody of Customer Assets of Licensed Derivatives Broker _____________ By virtue of Section 9 Section 18 Section 33 and Section 34(2) of the

securities company?s report on Pongsa?s alleged defrauding of client assets during 2005-2007, the SEC investigated further into the case and found that Pongsa had transferred securities from a client?s account

Bangkok, November 24, 2009 ? The SEC revoked approval of one investor contact for 10 years on account of dishonest acts, defrauding and interference with a client?s assets, and suspended another for

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

client and seeking benefits from the client during the performance of duties.   From a report of Finansia Syrus Securities Plc, the SEC further probed into the case and found that Acting Sub-lieutenant

suspension) ? advising a client to divide his money into multiple less than two-million baht deposit transactions to a bank account of the securities company where the client had a trading account to evade the

, 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