, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the

Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s

urgently solve its problems, such as loan defaults  and failure to prepare an submit financial statements to the Stock Exchange of Thailand (SET) to avoid a possible delisting from the SET and mitigate

SEC files criminal complaint against three alleged offenders on account of failure to perform duty in good faith causing damage to the company Bangkok, April 23, 2012 ? The SEC today filed a

tax plus a fine.BBL has already paid compensations for the damage incurred to both customers before closing the complaint cases.The demeanor of {A} was a failure to perform duties with responsibility

from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

for the same securities at the same prices. Disguising that the confirmation on security deposit was made by the client was failure to perform duties with honesty whereas trading securities and