duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

suspending the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns investment consultants not to submit trading orders on the client?s behalf even the client

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment

Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore

consultant approval status. In addition, the SEC  suspended other three investment consultants: (1) {B}, then an employee of  Finansa Securities Co., Ltd.; (2) {C} of BT Securities Co., Ltd. (presently CIMB

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

client gave them the authority to take care of the account. As such, both investment consultants had entered securities trading orders on the client's behalf and then informed the client afterwards. {B

Bangkok, October 15, 2012 - The SEC imposed administrative sanctions on six investment consultants by (1) suspending five investment analysts/consultants {A} of Asia Plus Plc., {B} of Kasikorn

} were in violation of Clause 20(2) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duties of Analyzing