: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012.
Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities
) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated
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