Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

speakers and experts from the financial services industry to share their experiences at the webinar, which attracted more than 500 participants, including fund managers, investment analysts, and other

financial statements as required by law. As a result, the POLOR share was suspended by the SET, which in turn affected the benefits of securities holders, the POLAR share price and investment decisions. Since

opportunity to collaborate with the SEC and UN to impart practical guidance and share good practice in responsible investment with Thai institutional investors and capital market participants. This webinar

negligent with regard to supervision of the company?s core work systems.   Regarding the share transfer case, Auracha, then an investment consultant at AEC, was found transfering shares in the client?s

, insurance companies and investment unit brokers. Under the theme, "Together Towards Tomorrow," the event aimed to foster stronger relationships, exchange experiences, and share knowledge on regulatory

Association of Investment Management Companies (AIMC), (8) the Capital Market Development Fund (CMDF), (9) the Anti-Fake News Center Thailand, and (10) the Cyber Crime Investigation Bureau, to share

to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients