suspended, revoked, or executed by the enforceable undertaking, or the SEC Office has disclosed incompetence in performance of duty, as the case may be; (3) request for renewal of approval or request for
process of temporarily suspending their business or suspended business operations by SEC รายชื่อบริษัทที่ได้รับใบอนุญาต การค้าหลักทรัพย์อันเป็นตราสารแห่งหนี้ (ประเภทบริษัทหลักทรัพย์) ชื่อย่อ ชื่อ เว็บไซต์
On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business
operations of all types are being suspended, as ordered by the SEC on 24 November 2023, as a result of its failure to maintain net fund as required by law. Furthermore, during this suspension order, Zipmex
suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already penalized Prapai by prohibiting her from
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already
particular, she failed to properly discharge her professional duties with loyalty, to provide services with honesty, and to perform her duties with professional due care. The SEC therefore suspended approval
is suspended for two months, starting from 18 December 2020. TMB itself had already terminated the employment of all three investment consultants. {D} and {A} were dismissed without compensation
suspended from trading on the SET since 12 January 2017. This incident, however, worked for Wichai's benefit because his IFEC shares of more than 57.46 million used as the collateral for the his margin
Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 8/2557 Re: Rules on Capital Market Personnel dated 3 June 2014. The SEC therefore has suspended him from functioning as capital market