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. *Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5972

SEC sanctions a securities investment consultant for failure to perform duties

Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5924

SEC sanctions two investment consultants

authorization from client to make securities trading decisions on behalf of client, in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4983

SEC suspends a capital market investment consultant

.*Clauses 20(2) and (3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5774

SEC suspends an investment consultant for failure to disclose investment risk and trading securities on behalf of clients

, effective from January 10, 2015.*Clauses 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5754

SEC suspends a securities investment consultant

. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012 which was prohibited characteristics of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5761

SEC suspends two investment consultants for unprofessional conduct

Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6641

Criminal Fining Committee orders fines on five YCI share manipulators

misconduct was liable to violation or failure to comply with professional duties, which is a prohibited characteristic of capital market business personnel*. The SEC has therefore revoked the approval of

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6570

SEC sanctions four investor contacts

three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4030

6263pe.doc

obtained an approval to establish from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for

https://publish.sec.or.th/nrs/6263pe.doc