Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
Bangkok, May 2, 2013 - The SEC disclosed inappropriate behavior as well as imposed suspension on three investment consultants: (1) {A} of Bualuang Securities Plc. for two months; (2) {B} of RHB OSK
investment consultant for three months. Since he has already been subject to a three-month suspension imposed by his employer, the SEC considered that he has already been punished by the SEC ' s order. For {E
as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group
pocket อย่างเป็นระบบและเป็นมาตรฐานเดียวกัน เพื่อให้ผู้ถือหน่วยลงทุนสามารถติดตามสถานะและความคืบหน้าของทรัพย์สินได้อย่างต่อเนื่อง2. การปรับปรุงหลักเกณฑ์ suspension of dealing โดยกำหนดให้ บลจ. แจ้งข้อมูลแก่
mutual fund management company shall immediately inform unitholders who have placed purchase orders for investment units of such suspension of investment unit sale and immediately disclose such information
digital asset business and to allow the qualified digital assets to be included https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8353 SEC orders temporary suspension of Zipmex services as digital asset
digital assets (trading rules) approved by the SEC. Also, the suspension did not comply with the standards as a http://market.sec.or.th/public/idisc/en/Enforce Settlement Committee Order No. 5/2022 Dated 05