Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
order was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved securities
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
) Settlement Committee Order No. 7/2023 Dated 21/09/2023 Merkle Capital Company Limited Merkle Capital Company Limited ("Merkle"), a digital asset fund manager, has duties to submit the report of penetration
F8) not relevant to the method of trading order submission is in violation of Clause 20(1) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel
Mr. Yanakorn Warakunrak During 2017, Mr. Yanakorn Warakunrak, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: (1) Mr. Asa Ninnad, (2
Mr.Poonsak Chumchuay During 2017, Mr.Poonsak Chumchuay, the director of Polaris Capital Public Company Limited (“POLAR”), together with former directors and directors: (1) Mr. Asa Ninnad, (2) Mr