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

capital market business personnel has lapsed since 31 December 2019 and he is not performing duties at any securities company. SEC has therefore banned Somchai from being personnel in capital market

honesty by disguising that trading decisions were not actually made by clients; and receiving orders from persons not the owner of securities trading accounts. He was an employee of Tisco Securities Company

LIBERATOR SECURITIES COMPANY LIMITED, Between November 18, 2022 to November 14, 2023, LIBERATOR SECURITIES COMPANY LIMITED, a company licensed Securities Brokerage, failed to comply with the rules

PHILLIP Securities (Thailand) Public Company Limited Between Feburary 23, 2021 and May 2, 2024, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, has applied

PHILLIP Securities (Thailand) Public Company Limited Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned

PHILLIP Securities (Thailand) Public Company Limited Between August 27, 2019 and December 26, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, the

BBL Asset Management Company Limited From 12 July 2023 to 30 September 2024, BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules, conditions and

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 Media Lab Company Limited On 10 November 2022, Tong Hua Media Lab Company Limited colluded with 17 offenders, to manipulate the stock price of More Return Public Company (MORE) causing the