{A} from the duty as the approved securities investment consultant for 4 months, effective from April 23, 2015.  As the suspension was deemed as the 2nd category of prohibited characteristics of

Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities

suspension on {A}, effective from 1 November 2017.  In the case of {B}, she committed similar acts by signing on the subscription order of a client without contacting or giving advice to the client. Instead

in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest

incurred by the SEC), a suspension of trading in securities or entering into derivatives contracts for a period of 14 or 30 months  (as the case may be) and a bar from serving as directors or executives in

consultant. Considering that {A} had already been suspended by OSK Securities for one month, however, the suspension imposed by the SEC shall remain two months, effective from June 10, 2014.In case of {B} and

she had already been subject to one-month suspension imposed by his employer, the suspension imposed by the SEC shall remain for 3 months, effective from May 20, 2015. *Clause 20(2) and (3) of the

Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of

31 investor contacts, effective from December 31, 2011, with details below: 1. Two-month suspension on {A} of Aira Securities Plc.2. One-month suspension on 12 investor contacts: {B}, {C}, {D}, of

since the date of the entry of the plaint (26 December 2018) until the payment is made in full; a suspension of trading in securities on the Stock Exchange or the over-the-counter center, or derivatives