Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received a number of orders via mobile phone. For {B}, the SEC probed into the case and found that she failed to keep complete record of a number of a client's securities trading orders and admitted that the trading orders were submitted via LINE.

Failure to keep complete record of the securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the Notification No. TorLorThor. 8/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC, therefore, suspended the approval of equity investment consultant of {A} for 2 months. Having considered that she had already been suspended by of Asia Wealth Securities Co., Ltd. for one month, the suspension imposed by the SEC shall remain one month. Also, the SEC imposed on {B} 2 month suspension of the approval of capital market investment consultant, effective from June 5, 2015.