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
Bangkok, 3 August 2023 – SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating
Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own
Capital Market Supervisory Board’s regulations.* Therefore, the SEC has revoked Sareerat’s approval as Investment Consultant for Complex Products Type 2** for 10 years. However, since her approval has
As part of its review of the definition of major shareholder applicable to derivatives business operators required to obtain approval, the SEC aims to ensure that the definition appropriately
Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06
characteristics of personnel in the capital market business. SEC has therefore revoked the approval as personnel in the capital market business for Mr. King for 10 years, as major shareholder of securities