Bangkok, December 13 , 2012 - The SEC suspended {A}, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and also reprimanded {B} for his inappropriate acts. The {A} case was reported by MTS Gold Futures Co., Ltd. that he had been authorized by his client to make derivatives trading decisions on the client's behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, caus...
Montpelier Financial Consultants - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 04/04/2556)
Global Investments (Far East) Ltd. Global Investments International Global House Ltd.และ Global Consultants Ltd. Website: www.qropdirect.com, www.g : Unlicensed securities and derivatives business
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
is suspended for two months, starting from 18 December 2020. TMB itself had already terminated the employment of all three investment consultants. {D} and {A} were dismissed without compensation
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
PFS International Consultants Limited Website: www.pfsinternational.co.th - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 04/02/2558)