Miss Nawarat Sukcharoensin Miss Nawarat Sukcharoensin, in collaboration with her brother (Mr. Surawut Sukcharoensin who was Director, Executive Director, and Chief Strategy Officer of L.P.N
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She
Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment
wrongdoing against a client’s assets by (1) using the client’s credit card to withdraw cash and spending the money for her own personal use, (2) replacing the client’s banking account contact information
or removals of directors of the business; (c) Any person who, by circumstances, can control such persons responsible for policy making, management or operation of the business to follow his/her orders
been fined for any offense under the laws governing securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her
securities and exchange in respect of unfair activities on securities trading or under any foreign laws of similar natures; (11) Having his or her approval for acting as a mutual fund manager or a private fund