Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of
Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
Bangkok, January 25, 2011 - The SEC has suspended four investor contacts for using clients? accounts to trade securities for other persons, interfering with clients assets, and failing to use
Bangkok, 1 February 2018 - The SEC has suspended approval for two securities investment consultants of KASIKORNBANK PCL. (KBANK) for failure to perform duties with responsibility and professional due
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's