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

-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the

Bangkok, January 23, 2012 - The SEC has revoked approval status of three investor contacts and suspended another for dishonest conducts and disclosure of client confidential information, effective

, resulting in a 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

SEA , the jail term was suspended for 2 years. On August 16, 2016, the public prosecutor concluded the consideration of the case and prosecuted the aforesaid persons on the ground that, as NMG directors

should have been received, and a reimbursement of the investigative expenses incurred by the SEC at the total amount of 6,836,479 baht, and shall be suspended from trading securities or derivatives for