Market Supervisory Board Tor Thor. 34/2556 Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary 06/09
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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
offences regarding market misconduct, and introducing civil penalty as an alternative sanction. Assistant Secretary-General Sakkarin Ruamrangsri said: ?The nature of market misconduct has become more
for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when
December 27, 2012. It also revealed inappropriate action of a former capital market investment consultant of a securities company for trading derivatives on behalf of a client.The SEC found from its routine