therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 January 2022. ________________________
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
offence committed by Zipmex concerning the case that between July 20, 2022 to August 25, 2022, Zipmex suspended the service of depositing and withdrawing customer's assets in Trade wallet and Z-wallet
guilty, the Court reduced the punishments by half, resulting in 6-month imprisonment and 500,000 Baht fine. The court suspended the determination of punishment for 2 years. DV Act S.Section 16 Criminal
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 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
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