received or should have been received, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or

, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or executive in a securities issuing company or a

, the suspension thus ends concurrently. In this regard, the SEC will not accept her future application for approval as capital market business personnel, starting from 31 March 2021 until the original

Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due

SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

Bangkok, May 2, 2013 - The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) {A} of Bualuang Securities Plc. for two months; (2) {B} of RHB OSK

investment consultant for three months. Since he has already been subject to a three-month suspension imposed by his employer, the SEC considered that he has already been punished by the SEC ' s order. For {E

as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group

digital asset business and to allow the qualified digital assets to be included https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8353 SEC orders temporary suspension of Zipmex services as digital asset