characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc. Following the report from
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the
Tong Hua Capital Company Limited On 10 November 2022, Tong Hua Capital Company Limited colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the price
Tong Hua Capital Company Limited During 18 July 2022 - 10 November 2022, Tong Hua Capital Company Limited colluded with 31 offenders, to manipulate the stock price of More Return Public Company (MORE
หัวข้อ (Translation) No. Tor.For 17/2017 September 29, 2017 Subject : Progress of the decrease of registered capital of subsidiary Attention : The President of the Stock Exchange of Thailand The
“Empower Your Money: Save Smart, Live Free.” The SEC officials from the Department of Capital Market Education delivered lectures on financial planning for government officials and conducted a workshop on
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Bangkok, 20 October 2016 - The SEC has suspended the approval as capital market investment consultant of {A} for 18 months for seeking benefits and making investment decisions for clients. She