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
established by the IFAC shall apply; (2) having certified public accountants whose licenses are still valid or are not currently suspended nor revoked by the ethical standards committee under the law governing
UOB Asset Mannagement [Thailand] Co.,Ltd, Between May 13, 2019 and August 1, 2021, UOB Asset Mannagement [Thailand] Co.,Ltd, a fund management company, there is a system to ratio monitoring and
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
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
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without