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
company, asset management company and commercial bank that sells investment units and market professionals such as investor contact, securities analyst, investment advisor and financial planner as well as
Market Supervisory Board TorThor 47/2552 Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1
(Newest) Date (Oldest) Notification of Capital Market Supervisory Board TorThor 47/2552 Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities http://capital.sec.or.th
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
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market?s product variety while it will be more convenient for investors to invest in foreign securities.Foreign securities underlying DRs must either be shares of a large company or investment units of an
Mr. Chalaem Semsarid During January 9, 2013 - February 28, 2013, Mr. Chalam Samsarid colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited (“UMI
Mr. Promakran Srinarong During January 9, 2013 - February 28, 2013, Mr. Promakran Srinarong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited
Mrs. Kodchaphon Singtong During January 9, 2013 - February 28, 2013, Mrs. Kodchaphon Singtong colluded or agreed with other principals to trade shares of Union Mosaic Industry Public Company Limited