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
. Act Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor. 43/2552 Custody of Clients Assets by Securities Companies (Codified
1. Act Securities and Exchange Act 2535 98 12/03/1992 16/05/1992 2. Notification of Capital Market Supervisory Board TorThor. 43/2552 Custody of Clients Assets by Securities Companies
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recorded such behavior for future reference if breach of duty is found. The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
securities trading orders is in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of
report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to order or act in
financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to
prescribed by the notification of Capital Market Supervisory Board, due to his failure to order or act in accordance with duties required to be performed. This case is in the process of inquiry by the inquiry
2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the