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
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
broker, by itself or by assigning overseas derivatives business operator as agent, may provide client with service of submitting derivatives trading order in overseas derivatives exchange. Clause 4. In
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
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
applying for a digital asset exchange licence.? The applicants failed to meet the approval criteria regarding important work systems. For example, the systems for custody of client assets and Know Your
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
, 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
to increase traffic of customer. Also, change the tenant mixed to suit with each location which has been well accepted by client. The Company cooperated with the Number 1 Operator in Thailand to push
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