business personnel for a period of seven years and six months, effective from 8 August 2020. In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
Supervisory Board.* Therefore, SEC will not accept his future application for approval as personnel in the capital market business for a period of five years, effective from 25 February 2020. Investors are
business for four years and eight months, starting from 12 January 2021.In considering a punitive measure, SEC takes into consideration the following factors: related roles and behaviors of the person(s
characteristic of capital market business personnel Type 2**. SEC has therefore revoked the approval for Sarunya as investment consultant for five years, effective from 16 September 2020. In addition, her
deduction measures period, for another three years, for the filing of registration statements and annual registration statements by those companies disclosing the data on greenhouse gas emission and
Facebook อ้างชื่อ 20 years of Cafe Amazon - ยังไม่ได้รับใบอนุญาตธุรกิจหลักทรัพย์/สัญญาซื้อขายล่วงหน้า (วันที่เปิดเผยข้อมูล : 16/04/2568)
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
, without derivatives fund management license, had jointly managed funds for others for profits from derivatives investment. In so doing, they solicited and invited persons who wanted to invest in
being its employee. The SEC's probe into the case also revealed that {B} managed trading account for the client and used the password given by the client to submit trading orders via internet. He