Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

credibility of capital market business personnel, and failed to perform duties responsibly with professional due care, which were deemed prohibited characteristics of personnel in capital market business*. Such

Bangkok, June 12, 2012 - The SEC today signed a Memorandum of Understanding (MOU) with the Financial Services Commission (FSC), the capital market regulator of the Republic of Korea (South Korea), to

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

Securities Public Company Limited, the SEC further probed into the case and found that for the period of more than one year, Tanya, a capital market investment consultant, submitted a number of securities and

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

ขายตราสารหนี้ในต่างประเทศที่เรียกโดยทั่วไปว่า ระบบอิเล็กทรอนิกส์เพื่อการซื้อขายหลักทรัพย์ ( electronic trading platform http://law.sec.or.th/content/3256/5319/1#5319 อธ./น. 5/2547 เรื่อง แนวทางปฏิบัติใน

cautious with the services provided by unlicensed digital asset business operators activities with another foreign digital asset trading platform and allowing payment for the transactions made in Thai baht

เพื่อการซื้อขายตราสารหนี้ในต่างประเทศที่เรียกโดยทั่วไปว่า ระบบอิเล็กทรอนิกส์เพื่อการซื้อขายหลักทรัพย์ ( electronic trading platform http://law.sec.or.th/content/3256/5319/1#5319 อธ./น. 5/2547 เรื่อง

warns the public and investors to be cautious with the services provided by unlicensed digital asset business operators activities with another foreign digital asset trading platform and allowing payment