) the administrative sanction to restrict or suspend business undertaking or revoke licenses, registration or approval shall be imposed on the violation or non-compliance with any of the following
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
will not accept his re-application for approval as capital market personnel until the lapse of ten year period commencing from November 14, 2014. Earlier, the SEC had imposed criminal sanction on Nakul?s
Approval for Undertaking of Derivatives Business
Approval of Auditors in the Capital Market
trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report