Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed

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

shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the

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

investment in derivatives traded on foreign derivatives exchange without limiting investment objective, providing that the investment must be made through securities company. The revised regulations aim to

making investment decisions. Direct inquiries can be made to the securities company where the investment consultant works, the SET or the SEC. _____________________  * Clause 23(2) and deemed to be the

high risk investment policies. Asset management company providing employee?s choice must have their members undergo the suitability test and give appropriate advice for those choosing to invest in high

?non-retail mutual funds investing in unrated or non-investment grade debt instruments without limit on investment proportion? but company limit will, however, apply in that investment in each bond

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients