investigation, Sakkarin was found to have acted in the following manners:   (1)  Soliciting a client to buy shares on the NP/SP List for the purpose of averaging out the cost of shares in the client's portfolio

report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in the request form for a change of client?s address in order to prevent such client from receiving

SEC probed into the case and found that her client had authorized her to sell securities in the client account during the client's overseas trip, if getting profit, while the client would make the

the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was

and adequate information in materiality for client?s investment decision making. Following a report on the client?s complaint filed by the Ministry of Finance, the SEC further probed into the case and

, 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

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

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

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

-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 SEC has suspended approval of two AEC