Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was
liable for any loss or damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for
damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor Contacts and
Commission No. SorKhor. 15/2548 Re: Approval for Investor Contacts and Standards of Conduct ______________________ Currently, each securities company undertakes various categories of securities businesses but
proposed by the SET. These amendments aim to enhance oversight of orderly securities trading by removing Non-SET100 Index securities from short selling eligibility. These SET’s regulations will take effect
trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities