client's account without the client's order and failing to perform in accordance with the client's order were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the
securities trading decisions on behalf of client was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended Atthapol from
Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC therefore suspended {A} from his duty as the approved capital market investment consultant for 6 months
orders via mobile phone.Failure to keep a complete record of derivatives trading orders was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days
Bangkok, February 2, 2012 ? The Minister of Finance has appointed three expert members to the Securities and Exchange Commission and the Capital Market Supervisory Board, as follows: - Ms. Benja
submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or
technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory
another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2