Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a
Facebook page "Easily Consultant Amz" : Unlicensed securities and derivatives business (Disclosure Date : 28/01/2026)
Facebook page "OR Investment Consultant" : Unlicensed securities and derivatives business (Disclosure Date : 29/01/2026)
ลงทุนในหุ้น M ในอัตราส่วน single entity limit ที่เกินจากประกาศที่ ทน. 87/2558 กำหนดที่ 10% แต่ยังสามารถถือครองทรัพย์สินดังกล่าวมาได้อย่างต่อเนื่องตามข้อ 113 ของประกาศที่ สน. 24/2552 และบทเฉพาะกาลของประกาศ
Facebook page "Hsh Single Stock Futures" : Unlicensed securities and derivatives business (Disclosure Date : 28/10/2025)
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform
Bangkok, January 24, 2014 - The SEC imposed a one-month suspension on {A}, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform sufficient information