have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

and expectation without having supporting information or documents to back up his claim were in contravention of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended

shall prepare a monthly account, and when derivatives business operators stop doing businesses or are suspended from operating their businesses to segregate customer assets from the derivatives broker

financial statements as required by law. As a result, the POLOR share was suspended by the SET, which in turn affected the benefits of securities holders, the POLAR share price and investment decisions. Since

Bangkok, June 23, 2011 ? The SEC has suspended two investor contacts Meaunchit Limpodom of Siam City Securities Co., Ltd., and Kruawan Rittiwong of United Securities Plc., for six months and one year

Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She

months. Having considered that he had already been suspended by Maybank Kim Eng Securities Plc., for 1 month and 4 days, the period of acceptance of his re-application shall remain 2 years 9 months and 26

Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} from duty as an approved investment consultant

Bangkok, October 9, 2014 - The SEC disclosed inappropriate behavior and suspended four securities investment consultants, then employees of Globlex Securities Company Limited, namely {A}, {B}, and {C

1,000 baht; and Montian and Chai (or Kittiwut) were each convicted on one count with a 4-month imprisonment and a fine of 1,000 baht. The infliction of the imprisonment was suspended for a period of two