Prior to the on-site inspection, the SEC communicated concerns with the venue owner and the event organizer, resulting in suspension of seven exhibitors’ activities. Today, during the inspection, 16
Earlier, Zipmex announced the suspension of its services for digital asset trading, money deposits and withdrawals in Thai baht, and deposits and withdrawals of digital assets, due to problems with
duties as an investment consultant for a longer period, it is deemed that {A} has already served SEC’s suspension in full. Investors are strongly advised not to allow investment consultants or other
performance of duties with responsibility and deliberation as a professional*. SEC has therefore imposed a suspension of approval on {A} as investment consultant for Complex Products Type 2** and as
value of each year for the last three years, and trading suspension records;(5) To prepare financial statements for the past three years and the latest quarter in accordance with the determined
lawsuit against those six offenders in the Civil Court for imposition of the maximum applicable statutory penalties comprising a fine of 68,456,936 baht plus interest, a suspension of trading in
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