Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company,...
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
PFS International Consultants Limited Website: www.pfsinternational.co.th : Unlicensed securities and derivatives business (Disclosure Date : 04/02/2015)
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Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
record clients' trading orders, the SEC probed into the case and found that both investment consultants, several times, did not record clients' orders. {A} and {B} claimed that they received clients
Bangkok, August 17, 2012 - The SEC imposed administrative sanction on seven investment consultants for their failure to record clients' securities or derivatives trading orders by suspending one
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