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
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
, 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
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
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 10 months, and shall be barred from serving as a director or