Following the complaints of two clients and SEC’s further investigation, it was found that {A} had made trading decisions without investors’ orders, while {B} and {C} had accepted trading orders

six months, and has suspended {B}, {C}, {D}, and {E} from acting as a member of the Investment Committee for a period of one year and three months each. In addition, Mr. Suphan Sethapanich committed

Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then

the share manipulation, and the SEC suspended her investor contact status for two years. (3) {C}, then vice president - securities trading at KTB Securities Co., Ltd., provided a client's trading

รวม เพื่อผู้ลงทุนประเภทสถาบัน และกองทุนส่วนบุคคล (ฉบับที่ 9) ลงวันที่ 17 มกราคม พ.ศ. 2561 “(6) อยู่ในระหว่างดำเนินการเพื่อเลิกกองทุนรวมตามข้อ 102/1” ข้อ 4 ให้ยกเลิกความในวรรคสี่ของข้อ 35 แห่งประกาศ

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, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office; (2) other off-balance sheet’s contingent liabilities which may contribute to the

, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office; (2) other off-balance sheet’s contingent liabilities which may contribute to the