Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing
the transfer of such securities to the account; but found out that such securities were all transferred and sold by such client. {A} then asked other two friends, who were clients of other securities
accounts and to transfer investment money into those accounts several times in the amount totaling 23 million baht. However, Phisit did not open the accounts for clients but used such money for securities
Bangkok, 21 January 2019 - The SEC has revoked approval for two investment consultants for using investors' trading accounts to seek benefits for themselves, namely (1) {A}, capital market investment
) Plc., committed dishonest acts during 2006-2008. She deceived a foreign investor into affixing his signature on a blank securities withdrawal/transfer form, claiming that the client could not receive
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
to transfer the money received from the mutual fund units redeemed to her own account for personal use; 2. Transferring additional deposit from the client’s account to her own account on
Building Confidence in the Capital Market No. 179/2014 SEC notifies ABC to rectify Q3/2014 financial statements Bangkok, December 17, 2014 – The SEC notified Asset Bright Plc. (ABC) to rectify its Q3