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
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
Bangkok, January 23, 2013 - The SEC imposed a two-month suspension on {A}, a securities investment consultant of SCB Securities Co., Ltd., effective from January 23, 2013.The SEC received a report
Facebook page "CP Investment Consultant." impersonates "CP ALL Plc." : Unlicensed securities and derivatives business (Disclosure Date : 27/05/2025)
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
Capital Market Supervisory Board.* SEC has therefore revoked the approval and will not accept her future application for approval as personnel in the capital market business for a period of 10 years
. Tor Lor Thor. 48/2560 Re: Rules on Personnel in the Capital Market Business (No. 7) dated 30 August 2017. *** An investment consultant for complex
consultant, had misappropriated clients’ money by withdrawing money from the clients’ banking accounts without executing the transactions that the clients had made. Besides, she made false evidence by forging