Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
business in all categories or which is suspended from its securities business in all categories by order of the SEC or the Office, and when the Office has received notice in writing from the securities
preparing and filing the reports under this Notification: (1) Any securities company, which ceases its securities business in all categories or which is suspended from its securities business in all
and filing the reports under this Notification: (1) Any securities company, which ceases its securities business in all categories or which is suspended from its securities business in all categories by
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
form of cash or short-term securities (Cash Company). In case of posting the Trading Halt (H) and Trading Suspension (SP) sign, trading activities are suspended when an event occurs and impacts decision
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment