Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

issued by commercial banks, the banks established by specific laws or TSFC Securities Public Company Limited (TSFC) on the condition that the financial instruments and the issuers thereof must have the

account of performing duties dishonestly, misappropriating client assets, and producing false evidence.According to a referral from KASIKORNBANK Public Company Limited (KBANK) and the SEC's further

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material

from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of

Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed

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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

Bangkok, July 7, 2014 ? The SEC is seeking public comment on revisions of client assets report of securities companies and derivatives brokers to be applicable to commercial banks and life-insurance