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

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Teerasak as an investment consultant for complex products Type 2 (IC

Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and

December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has