his duty as the approved capital market investment consultant for 8 months. Taking into account that Atthapol had already been suspended by his employer for 15 days; the suspension imposed by the SEC
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
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
provide securities trading service to the account owner or the written authorized person. The SEC and RHB OSK found that {ก} submitted a number of securities trading orders in several clients? trading
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business
and his client showed that he had used the client's account to trade securities for himself.{A}'s actions were deemed the violation of Clauses 20(1) and (3) of the Notification of Capital Market
SEC therefore revoked her status as an approved capital market investment consultant and banned her re-entry as capital market personnel for one year and three months. However, taking into account that
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for