Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
information was insufficient for identification or verification.In addition, as the head of the company's Anti-Money Laundering Committee, he failed to take action when certain clients ordered transactions
Group on Business and Human Rights on “Exploring Respect for Human Rights as a Driver for Business Action on Sustainable Development”. The seminar will conclude with a panel discussion on “Trends
of 500,000 Baht each. In this regard, the SEC will also pursue administrative action in relation to capital market personnel against Chaninan in this matter.Information contained in this news release
trading decisions on behalf of the clients, regardless of the client's permission or authorization. In this regard, {A}'s action was deemed as obtaining authorization from clients to make securities trading
company in capital market or the lead appraiser. Clause 28 In deliberating the severity of demeanors as prescribed in Clause 27, the SEC Office will deliberate fact relating to conduct or action of an