Bangkok, April 27, 2016 ? The SEC has revoked approval as securities investment consultant of three employees of AIA Co., Ltd., namely (1) Atcmima Pattanapinyokul, (2) Laddawan Preechasiriratna, and

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

Global Consultant Company Limited Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used

Mr. Narathip Lohawaroj Mr. Narathip Lohaweroj, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd., convinced

Mr. Torpong Thammasombut Mr. Torpong Thammasombat, an investment consultant of a securities company had cooperated with Mr. Thiti Tharasuk, an authorized director of Chart Master Co., Ltd

positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a

Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed

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, May 14, 2012 - The SEC imposed two-month suspension on {A}, an investment consultant of Asia Plus Securities Plc., one-month suspension on {B}, an investment consultant of Maybank Kim Eng

Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of