capital market business personnel has lapsed since 31 December 2019 and he is not performing duties at any securities company. SEC has therefore banned Somchai from being personnel in capital market
investment consultant, the SEC received complaints from several clients of Bualuang Securities Public Company Limited and conducted further investigation which revealed that {A}, a capital market investment
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Srisawad Capital 1969 Public Company Limited Srisawad Capital 1969 Public Company Limited ("SCAP"), a listed company, prepared and submitted the inaccurate key financial ratio for the year
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market
following Notifications shall be repealed: (1) The Notification of the Capital Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re: Requirements for Securities Company to Take Action concerning
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, revoked the approval as securities investment consultant of {A} and set the period to accept her re
characteristics of capital market business personnel under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 87/2557 Re: Rules on Personnel in the Capital Market Business