failure to prepare and submit (1) the financial statement for the year 2021 (2) the annual registration statement (Form 56-1 One Report) for the year 2021 (3) the reviewed financial statements for Q1/2022

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

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

failure to prepare and submit the accurate the annual registration statement / annual report (Form 56-1 One Report) for the year 2022 in accordance with the notification of the Capital Market Supervisory

report for the year 2023 (Form 56-1 One Report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board on

report for the year 2024 (Form 56-1 One Report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board on

/2555. Besides, {C} failed to record the client's securities trading orders in violation of Clause 20(3) of the Notification No. TorLorThor. 3/2555. In this case, the SEC suspended {B} for one month and

year 2023 and (2) the annual registration statement for the year/annual report for the year 2023 (Form 56-1 One report) through the transmission system of the Stock Exchange of Thailand within the period

registration statement for the year/annual report for the year 2023 (Form 56-1 One report) and (3) the reviewed financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand