Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
derivatives trading orders to make up the record of receiving those orders. In addition, Napat had been authorized by a client to make securities trading decisions and he confirmed the trading transactions to
) wish to be approved as a foreign auditor in the capital market under the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 dated 9 April 2015 Re: Approval of
For the purpose of considering an application for approval as a foreign auditor in the Capital Market for Mr./Mrs./Miss …………………………………………... (applicant’s name) by the Securities and Exchange Commission
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
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
LLC Fair Expo Satang Corporation Co., Ltd. (Satang) by Mr. Poramin Insom, Chief Executive Officer and authorized director, entered into a market maker agreement with LLC Fair Expo by Mr. Mikalai