, another KBANK employee who was not an approved investment consultant gave advice to the client in such a way that caused the client to misunderstand that the investment was a deposit transaction because the

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

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

Securities (Thailand) Plc. for one month; and (3) {C}, a former investment consultant of Kiatnakin Securities Co., ltd., for three months.   In the case of {A}, the SEC found that he had taken trading orders

plus a fine.In the case of {B}, BBL's inspection report and the SEC's further investigation have revealed that she affixed her signature in the Investment Consultant Box of the LTF (long-term equity

consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed

risk management committee, a director and a consultant of community waterworks project of Phol Dhanya Public Company Limited (PHOL). During 22 December 2016 to 24 February 2017, he sold ordinary shares

3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected.  According to a report from Thailand Securities Institute

for a period of 10 years, effective from 9 November 2018;             (2)  In the case of Mr. Pattarawut Thunyajaroen, the SEC revoked the approval as investment consultant and will not accept his

Bangkok, May 14, 2012 - The SEC imposed two-month suspension on {A}, an investment consultant of Asia Plus Securities Plc., one-month suspension on {B}, an investment consultant of Maybank Kim Eng