Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
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
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
client in an unprofessional manner.The actions of {C}, {D}, {F}, and {G} were deemed performing duties beyond the scope of employment, taking advantage of client by virtue of duties, and using client
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
inside information to take advantage of others which is a contravention of Section 241 and subject to liabilities under Section 296 of the SEA. As such, the Settlement Committee imposed fines on
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the