Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the

January 18, 2012. The SEC therefore suspended {A} from his duty as an approved securities market investment consultant for a period of three months. Taking into account that he has already been suspended by

Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

-year imprisonment and 8,000,000 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment and 4,000,000 baht. The jail term was suspended

fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The case was

of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows:   1. Suspended {A} from her

Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex

investigative expenses incurred by the SEC, as follows: Surachanee, Praphol, and Karn in the amount of 1,127,153 baht each, and Peerapun in the amount of 550,861 baht.           b. The offenders are suspended

Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended

Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012. The SEC therefore suspended {B} from performing the duty of