offenders, namely (1) Miss Yuwadee Wachiraprapa, (2) Mrs. Ananya Ruangsakvichit, (3) Mrs.Kingkarn Smitananda, (4) Miss Narumon Mangtab, (5) Beyond Securities Public Company Limited (BYD) or AEC Securities
; (2) Determining the approval application fee for an appraisal company to be 50,000 baht and for a lead appraiser to be 10,000 baht per 5 years, instead of per 2 years at present, resulting in
Deawwanich as two additional directors, there are currently only three directors whose names appeared on the company certificate, namely, (1) Mr. Suphanan Rittiphairoj (2) Mr. Chatnarong Chattrabhuti and (3
shares and warrants (UMS-W1) by using the company?s then undisclosed information concerning its operating performance for Q4/2008, in which the company posted substantial decrease in net profit due to
acceptance of financial assistance from a related company, despite the transaction had a major impact on the applicant?s business operation.Weerawat?s actions as financial advisor supervisor while working with
honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company
was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further
an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus