BANGKOK, December 12, 2006 ? The SEC has revoked the approval for investor contact Vitaya Kongkeaw and put another investor contact Lat Charnanurak on suspension, both for violating the Rules of Conduct for approved investor contacts. Vitaya was found to have deceived his client on several occasions by telling the client to transfer money to Vitaya?s own banking account, at the total amount of 1.58 million baht, and lying that the transferred money would be paid for securities subscriptions...
Bangkok, October 15, 2012 - The SEC imposed administrative sanctions on six investment consultants by (1) suspending five investment analysts/consultants {A} of Asia Plus Plc., {B} of Kasikorn
Bangkok, October 10, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of Capital Nomura Securities Plc. and a one-month suspension on {B}, a securities investment consultant of Asia Plus Securities Plc. Following the report of Capital Nomura Securities Plc., the SEC probed into {A} case and found that he failed to record the client's securities trading orders sent through him for several days. {A} admitted that the securities trading orders were taken via...
Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives trading orders.In case of {A}, the SEC received the report from Asia Plus Securities Plc. on investigatio...
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts failed to show evidence of their clients trading orders, and most of them admitted that they had take...
Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and KTB Securities? investigation report. From the SEC probe, it was found that the complainant was l...
Bangkok, December 29, 2008 ? The SEC has revoked its approval for the investor contact status of Sarinrat Pongakramorn, a former bank officer, and imposed a one-year suspension on Surachada Chanmoosik, a former marketing officer of Finansa Securities Limited. 1.In the case of Sarinrat, her employer reported that she had obtained personal benefits dishonestly by forging signature to withdraw money from a client?s account, which was deemed a breach of duty. She was also found to have acted in such...
Bangkok, December 1, 2008 ? The SEC imposed administrative sanctions on four investor contacts, as follows: 1.Pongsa Charoensettasi (revocation): Following investor complaints and his employer
Bangkok, October 15, 2008 ? The SEC imposed administrative sanctions on three investor contacts whose misconducts and respective penalties are as follows: 1. Preeyanuch Anuvongkul (revocation