plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She
as she allowed Suthee to submit securities trading orders for the client's securities account. She also received incentive payments from such trading. Trading securities on behalf of the client and
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from
her client to buy derivative warrant without informing the client of specific risk of securities, the securities? last trading date and maturity date. {A} admitted that she advised the client to buy
this to safeguard investors in the capital market from investment scams. Mr. Just Wang, Associate General Counsel from Meta emphasized, "We appreciate the SEC as a valuable partner, and look forward
entities from the fund-providers point of view.On behalf of the DBD, I genuinely appreciate this opportunity to work hand in hand with the SEC building up strength and competitiveness for Thai business
Company’s related company by Mrs. Sutasanee Karnasuta as authorized director and she is a sister to Mr. Polpat Karnasuta as CEO of Nawarat Patanakarn Public Company Limited. Please be informed accordingly
values. Additionally, she outlined strategies for fostering sustainability disclosure in line with global standards to reflect transparency and accountability.In the picture (from left to right):1. Mr