to provide securities trading services according to the order of the account owner or the authorized person3. The SEC therefore suspened approval of {B} and {C} as capital market investment consultant
Patcharee Thuttumrongchai as capital market investment consultant for six months and one month, respectively, starting from December 25, 2015. The SEC?s further inspection has revealed several defective core
securities trading. Because of his misconduct, Kajonchai will be subject to the SEC?s consideration regarding prohibited characteristics of capital market personnel. Meanwhile, the SEC is proceeding with the
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
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