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SEC Help Center
SEC Help Center
Matters under the SEC Responsibility
Complaint Handling Procedure
Samples of Documents or Evidence
Matters under Supervision of Other Laws
Whistleblower
Inquiries
Channels for Complaints / Inquiries
Complaint Forms
Complaint Against SEC
Samples of Documents or Evidence
Sample of Complaints Samples of Documents of Eveidence
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
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.
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.
Last updated on 17 October 2016
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