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
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The
process of temporarily suspending their business or suspended business operations by SEC List of company licensed Derivatives Dealing (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation Company