Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any

' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

Bangkok, March 1, 2016 -  The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

she has already been suspended by Finansia Syrus Securities Plc. for six months, the banning of her application is thus remained nine months, starting from April 11, 2013.

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days

sentence of imprisonment for 1 year and a fine of 100,000 Baht. As the defendant had no prior criminal record involving imprisonment, the Court suspended the execution of the imprisonment sentence for a

Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A}  for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets