Detail Content
SEC Complaint Center
Samples of Documents or Evidence
1 | ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. |
● Full name of the investment consultant. ● Name of Securities/derivatives intermediary or the employer of the unit seller such as commercial bank. ● Details of the behavior causing the complaint. ● Documents relating to settlement/cash deposit to or withdrawal from a trading account, for instance: Bank statements used for ATS trading Deposit/withdrawal/transfer slip for purchasing securities/derivatives Statement report Confirmation note Transfer form Other documents such as a copy of share certificate, subscription form, etc.
● Contact evidence such as email and chat messages with the investment consultant, etc. ● Additional documents (if applicable): Complaint letter to intermediary Complaint reply from intermediary Memorandum between the complainant and the investment consultant
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2 | Solicitation or advice on securities or derivatives investment based on the value of the underlying asset such as gold price/crude oil price/agricultural products by an unlicensed company. | ● Information of solicitor/advisor such as company’s name, address, website, online media, full name and contact details of solicitor/advisor, etc. ● Services information/recommendation received/ solicitation/advertising information/services provided by the company, for instance: Solicitation to buy stocks/derivatives/mutual fund Portfolio information Email, address, telephone number, a certified copy of Thai nationality ID card or passport, location, etc. Fee, transfer method, documents related to bank account opening
● Documents/evidence on an investment, for instance: Transfer documents such as a pay-in slip Documents/email/messages related to the application and services Advertising/solicitation documents or trading documents Contract, trading order, confirmation note, etc.
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3 | Suspicion of fraud or embezzlement by listed company’s executive(s). | ● Name of executive and related person/name of company. ● Name of the authorized person. ● Payment documents of the company. ● Bank account of the executive(s)/company. |
4 | Incorrect or incomplete disclosure of financial statements or annual report of listed company. | ● Undisclosed items/incorrect disclosure of information ● Other related documents/evidence such as accounting document, contract, etc. |