Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
Bond SUKUK Structured Debenture Common share (LiVEx) DR-Common share Depositary Receipt DR-Convertible debenture Depository Receipt Representing Foreign Securities NVDR Preferred share TDR TSR Warrant
”, “registration statement”, “bill”, “short-term bill”, “high net worth investor”, “institutional investor”, “short-term bond” and “structured note” shall have the same definition given to them under the
) having been rejected by the SEC Office regarding an application for an offer for sale of newly issued shares due to a significant suspicious ground regarding management mechanism in any of the following
investment fraud, unlicensed companies, and other suspicious activities reported by member countries. The goal is to display and warn the public about these flagged entities, thereby enhancing the efficiency
, after receiving report on suspicious activities. The SEC?s investigation and evidence found at the site indicated that during August 2009 ? February 2010, both companies had presented themselves on a
and derivatives businesses. Vasant Thienhom, SEC Deputy Secretary-General, said that ?Following suspicious report, the SEC probed into the case and found that Yuttana held himself out as money manager