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
SEC has regulated regarding the method of Know Your Client (“KYC”) for securities and derivatives business operators through the use of principle-based regulations due to the fact that business operators have different in sizes, target audience, and number of clients. Therefore, it depends on the business operators to find the most appropriate method to perform e-KYC as long as they follow the objectives and principles as notified.Now, SEC is seeking public comments on the guideline of ad...
Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital
Miss Sugunya Sukjaroenkraisri Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (ACAP), shall be liable for ACAP?s failure to
Mr. Wattana Chaiwat Mr. Wattana Chaiwat, a Managing Director for the operation of LDC Dental Public Company Limited ("LDC"), shall be liable for LDC?s failure to prepare and submit the
Mr. Swake Srisuchart Mr. Swake Srisuchart, a Chairman who is responsible for the operation of Power Line Engineering Public Company Limited ("PLE"), shall be liable for PLE?s failure to