, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
shall remain for 7 months and fifteen days, effective from October 9, 2014.Note: Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 which was prohibited
suspended her approval of the capital market investment consultant and investment planner for 6 months, effective from December 9, 2014.Note: *Clause 23(1) and prohibited characteristics of personnel in the
. Taking into account that {A} had already been suspended by his employer for a month 7 days, however, the suspension imposed by the SEC shall remain 4 months 23 days, effective from December 11, 2014.Note
suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the
effective in early 2015.? ?The SEC supports asset management companies to explore their business opportunities in offering mutual funds with a variety of investment policies such as mutual funds for
, effective from January 15, 2015.*Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing
Capital Market Supervisory Board recently approved infrastructure trust regulations, scheduled to become effective early next year. The new regulations will widen fund raising channels for domestic and
Engineering Plc. (IFEC) in contravention of the SEC regulations on standards of conduct, effective from December 31, 2011. {A}, an investor contact of KGI Securities (Thailand) Co., Ltd., is suspended for two