Mr. Chalaem Semsarid Mr. Chalaem Semsarid, then marketing director of Country Group Securities Public Company Limited and approved securities investment consultant, agreed or conspired with twelve

Mr. Niel Arthur Robbirt Mr. Niel Arthur Robbirt colluded with other alleged offender in operating securities businesses of brokerage and persuade the investors to invest by Global Consultant Limited

complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant

Bangkok, March 27, 2014 - The SEC suspended {A}, a former capital market investment consultant of UOB Kay Hian Securities (Thailand) Plc, and {B}, a capital market investment consultant of Krungsri

investor contact? and ?Category B investor contact? will be changed to ?investment analyst? and ?investment consultant,? respectively. For transitional period, presently approved ?Category A investor contact

-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months.   In the case of {A}, the SEC found that he had taken trading orders

Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

for a period of four months and 40 days, respectively.In the case of {A}, who was a securities investment consultant and a branch manager at KASIKORNBANK Public Company Limited (KBANK) while committing