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- Published: Friday, 12 September 2014 18:53
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ก.ล.ต. สั่งพักผู้แนะนำการลงทุนฐานตั
ก.ล.ต. สั่งพักการให้ความเห็นชอบเป็นผู
ก.ล.ต. ได้รับรายงานของ บล. โกลเบล็ก กรณีลูกค้าร้องเรียนผู้
การตัดสินใจซื้อขายหลักทรัพย์
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หมายเหตุ: ข้อ 20(2) และ ข้อ 20(3) แห่งประกาศคณะกรรมการกำกั
SEC suspends an investment consultant for trading securities without client’s order and not taping investment advices
Bangkok, September 12, 2014 – The SEC suspended Monchaya Krichkamjorn,
a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without client’s order and not taping investment advices and client’s order.
Following a report on client’s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that Monchaya sent a trading order from the client’s securities trading account without her client’s order. Monchaya admitted doing such action, reasoning that she was unable to contact the client at the time the share prices were within the range which the client previously expressed interest in. She thought that the shares could be sold to take profit in the similar manner as the client’s purchase made in the morning session. Besides, Monchaya admitted that she advised the client to sell the other securities to settle the buying order which the client agreed and asked her to submit the selling order via mobile phone. Accordingly, there was no record of client’s selling order.
Making trading decisions of securities in the client’s account without the client’s order and not taping investment advices and client’s orders were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Monchaya from her duty as the approved securities investment consultant for 2 months. Taking into account that Monchaya had already been suspended by her employer for one month; the suspension imposed by the SEC shall remain for additional one month, effective from September 15, 2014.
Note: Clauses 20(2) and 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clauses 23(2) and 23(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014 which have been promulgated in replacement of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555.
