complaint inspection report from Apple Wealth Securities, the SEC has investigated further and found that Pisist had solicited a client to trade securities to earn the set interest rate of 8 percent within
care for the best interest of investors. The suspended persons are (1) {A} and (2) {B}. According to a report from KBANK and the SEC's further inspection, {A} was found to have signed on a unit
offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a
related information thoroughly and inquire GJS executives for further details and clarification in order to make a well-informed decision and exercise the voting right to protect their own interest
According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012, executed securities trading orders for the client who acknowledged
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
from holding the director and executive positions at any securities issuing company and listed company. According to the referral from the Stock Exchange of Thailand (SET) and the SEC's further
assignment to make investment decisions for the investor.Following a client complaint, the SEC made further investigation and found that during September 2017 - February 2018, {A}, then working for Asia Wealth
incorrectly, and failing to disclose material information to support an investor's decision making.Following a client complaint, the SEC made further investigation and found that in May 2016 {A}, then working