Bangkok, April 11, 2013 - The SEC revoked the approval of investment consultant {A} of Finansia Syrus Securities Plc.Following client complaints, the SEC upon investigation found that {A} had agreed
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a
principle of widespread distribution to general subscribers without specific allocation to any particular individual (cherry picking), and must not be an arbitrage in evasion of regulatory compliance
Type of securities : Common share | Effective Date : 08/06/2004 | Close Selling Date : 11/06/2004
Year : 2004
Year : 2005
Year : 2006
Year : 2007
Year : 2008