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
value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any
obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss
TOPLINE or causing themselves or another person to obtain any benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated