misappropriation of and interference with client assets. In addition, handling securities conversion for clients was beyond the scope of responsibilities assigned by her employer securities company. Sutthasinee?s

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

securities in the client?s account without authorization. His actions, authorized or arbitrary, were deemed interference with client assets, non-compliance with professional standards of conduct. In the case

the investor contact. The interference with the client?s assets and the offering of false information to the client with the intention to deceive are dishonest doings and contravene the standards

investor contacts, securities companies and investors themselves of the negative effects of asset interference and strongly advising investor contacts against committing such misconduct; otherwise, the SEC

unauthorized trading transactions in his account, to which Pojpraphan admitted to have made. His actions were deemed interference with client assets in violation of Clause 11(2) of the above Notification. The

another person?s bank account. Wittaya?s actions were deemed interference with client assets and performing duties beyond the scope of his responsibilities. Both sanctions took effect on August 7, 2008.

business work systems.   The SEC Board has passed a resolution approving the proposed amendments to the digital asset business licensing process and endorsing the proposed amendments to the regulations

endorsing checks payable to the securities company offering the services or transferring payments directly to the securities company?s banking account or following the instructions specified on the

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