Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
as well as listed companies, supporting sustainable development of Thai capital market. Vorapol Socatiyanurak, SEC Secretary-General, said the revamped ?CG Thailand? website serves as the information
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
failure to perform duties or give services with loyalty, responsibility and deliberation as a professional in contravention to the Notification of the Capital Market Supervisory Board.* SEC has therefore
acts that benefit or impede the SEC’s proceedings, and records or any other past demeanors which indicate inappropriateness to be personnel in the capital market business. Investors are strongly
under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to
TikTok อ้างชื่อ okj.stock_market - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 06/11/2567)