CLASSIC GOLD FUTURES COMPANY LIMITED CLASSIC GOLD COMPANY LIMITED CLASSIC AUSIRIS FUTURES COMPANY LIMITED QUANTUM WEALTH INVESTMENT ADVISORY SECURITIES COMPANY LIMITED COINDEE COMPANY LIMITED COINS TH

Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

Wasana Chaiyawuth, a capital market investment consultant of Krungsri Securities. In addition, the SEC suspended Monta Pinooncharoensit, a former capital market investment consultant of Krungsri Securities

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

any in accordance with the compromise agreement. {B} (formerly named {C}), the investment consultant for the securities trading account of such client, failed to perform investment consultant?s duties

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re

misconduct occurred.Following a report of the Stock Exchange of Thailand, the SEC further probed into the case and found that {A} activated an inactive securities trading account of a client in order to submit

statement indicating that the client had signed the documents to open the securities trading account in witness of an investment consultant. Nonetheless, {B} admitted that she was the one who processed such

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities