Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
subject to temporary trading suspension. In addition, the company must proceed to have new operating business to meet the SET regulations within 12 months while its business plan remains unclear
suspension imposed by the SEC shall remain fifteen days.
his approved investment consultant status had expired earlier, the SEC will not consider an application for approval as capital market personnel for two years. Taking into account of a 16 day suspension
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
Thor. 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014. The SEC, therefore, has imposed the suspension of securities investment consultant approval on {A} for 20 days, from
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed
present), the suspension imposed by the SEC shall remain for two months and eighteen days, effective from April 25, 2013.
15 days, the suspension imposed by the SEC shall therefore remain four months and 15 days. Meanwhile, {B} is suspended from duty for three months.
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from