securities investment consultant, namely {E}, were suspended, effective from September 11, 2014.The SEC's routine inspection of RHB OSK Securities (Thailand) Plc., found that {B}, {C}, {D} and {E} had prepared
{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients
Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record
, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
the first-time adoption of Thai Financial Reporting Standard 17: Insurance Contracts (TFRS 17) on 1 January 2025. Consequently, the auditor was unable to review the source of input data, the
Mr.Phanit Mr.Phanit (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses
Mr.Thanapol Mr.Thanapol (surname not available), jointly with other alleged persons, operated mutual fund management in Thailand under the name of "Standard Morgan" without proper licenses