Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent a trading order from the client's securities trading account without her client's order. {A} admitt...
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine inspection that {A}, a capital market investment consultant of Phillip Securities, failed to record...
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case and found that {A} had been authorized by his clients to make securities trading decisions on the c...
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of securities and trading securities on behalf of clients. Following a client complaint report filed by Maybank Kim Eng Securities (Thailand) Plc., the SEC further probed into the case and found that {A} advised her client to buy derivative warrant without informing the client of specific risk of securiti...
Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands
leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility
should not leave their fund passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with
passbooks and savings passbooks with https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552 SEC suspends three investment consultants for failing to perform duties with responsibility could influence the
suspends the approval for the remaining period of approval. Clause 27 In cases where the facts appear as follows, the SEC Office may suspend or revoke its approval for auditor in the capital market as deemed