' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and
, the SEC suspended {A} for two months and {C} for one month from duty as an approved securities investment consultant. For {B} with his previous demerit record, the SEC suspended him from duty as an
such as investment consultant registration, ?Pride of the Province? project and making complaints relating to capital market. ?12? stands for 12 months throughout the year while ?07? signifies seven days
appropriate risk and cost management in order to create a balance in economic, social and environmental dimensions for the optimum benefit of all stakeholders and in line with the United Nations Sustainable
of the following manners: 1. having a possibility to be unable to treat shareholders fairly by giving benefits to any group of shareholders, which will create an advantage over other shareholders or
. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading
investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
investment consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as Onjira Yuwadee, a securities investment consultant and
consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as {B}, a securities investment consultant and {C}, a capital market