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(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5304

SEC suspends an investment consultant for trading on behalf of client

derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5321

SEC sanctions two securities investment consultants

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5327

SEC suspends an investment consultant for trading on behalf of client

client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5339

SEC suspends an investment consultant for trading securities on behalf of client

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5264

SEC suspends an investment consultant for failure to inform the client of material information

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5464

SEC suspends an investment consultant for trading on behalf of client

Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5466

SEC sanctions an investment consultant for concealing material information

Capital Market 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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5253

SEC sanctions an investment consultant for concealing material information

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. Accordingly, the SEC

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5254

SEC imposes three-month suspension on an investment consultant

: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5051