Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a

, violating Section 301. On February 9, 2011, the court sentenced the accused to one-year imprisonment. The accused appealed against the judgment of the Court. SEC Act S.301 Criminal Complaint Filed with an

, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 3/2025 Settlement Committee Order No

, 2023, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 3/2025 Settlement Committee Order No

, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 49

16, 2023, and December 11, 2023 to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 4/2025

the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 5/2025 Settlement Committee Order No. 88/2025

November 24, 2023, to the SEC Office within the period specified by the SEC Office Notification, on one occasion. This case is in the process of inquiry by the inquiry official. SEC Act S.Section 57(6

, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. This case is in the process of inquiry by the inquiry official. SEC Act S.Section 57(6) Criminal