approved securities investment consultant for a year and 2 months. Having considered that Acting Sub-lieutenant Saroj had already been suspended by his employer for 3 months, the suspension imposed by the
for 2 months. Taking into account that {A} had already been suspended by her employer for one month; the suspension imposed by the SEC shall remain for additional one month, effective from September 15
specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015
capital market investment consultant for 11 months. Having considered that he had already been suspended by Tisco Securities Securities for three months, the suspension imposed by the SEC shall remain 8
fine of 333,333.33 baht, and Chompoonuch to a one-year and six-month imprisonment and a fine of 500,000 baht; without suspension of the execution of imprisonment.Information contained in this news
Bangkok, May 15, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of RHB OSK Securities (Thailand) Plc. and disclosed inappropriate behavior of {B}, a
which will expire by December 31, 2012, the suspension period shall therefore remain until then and the SEC will not consider his renewal application for another six months. The SEC also publicly