Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
-month imprisonment and a fine of 500,000 baht for jointly with others manipulating share price of Krisdamahanakorn Plc. (KMC). The imprisonments were not suspended. On April 22, 1993, the SEC filed a
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, December 13 , 2012 ? The SEC suspended Theera Chaowanapreechasilp, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and
Bangkok, December 13 , 2012 - The SEC suspended {A}, then derivatives investment consultant of MTS Gold Futures Co., Ltd. for six months, effective from December 12, 2012; and also reprimanded {B
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of