approval for him as capital market business personnel for four years, starting from 29 January 2021. As a result, he is also banned from holding the positions of director and executive of capital market

, paid-up capital, expiration term (if applicable), REIT Manager, and Trustee; - fact sheet regarding main asset as of financial year-end date, type of investment, investment price, method of procuring

Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client.  Following a report

complaint was filed after the above six persons did not agree to enter the settlement process within reasonable period and their involvement in the ratification was in connection with the SEC?s criminal

persons are required to submit written explanation to the SEC within 7 business days while the appropriateness of Vijit Supinit involvement will later be considered.

involvement in the skytrain contract that they have allegedly operate railway systems or obtaining concession without the Interior Minister?s authorization. Then on January 16, 2013, the DSI set to summon some

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

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