trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities
admitted that the client allowed him to sell the securities in cases of making profit or potential loss. From his conversation with the client recorded, he traded securities for the client several times a
client and caused such client to suffer loss. In addition, most trading transactions had no source of orders. {A} admitted that the client allowed him to sell the securities in cases of making profit or
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
the valuation results to recognize an investment amount of Baht 8,231 million and the gains from loss of control in Pace One and Pace Three of Baht 8,857 million.A use of reasonable assumptions in the
way. Furthermore, in the event that the investment proposal is rejected, the company will face a material loss from the advanced payment for land acquisition in other projects, including the loss of
funds from overseas to make investment based on his advice for the sake of tax benefits and long-term return. The investors followed his advice but suffered loss.? Mr. Malpass was not licensed to operate
statements for the first, second and third quarters of 2015 to the SEC immediately.The AIE auditor?s report contained a disclaimer of opinion on the profit and loss statement, the total profits and losses, the
benefits and long-term returns. The foreign investors proceeded accordingly and suffered loss as a result.Neither Global Consultant nor Mr. Robbirt was licensed to operate securities business pursuant to the
) using her personal mobile phone, together with the username and the password she had created, to execute trading transactions via the Internet, and (2) making trading orders via MBKET’s trading