Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
securities investment consultants, had committed wrongful acts against clients at various branch offices as follows: (1) In the case of Miss Surasa Mungthaworn, it was found that she had
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and KTB Securities? investigation report. From the SEC probe, it was found that the complainant was l...
Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
Bangkok, October 6, 2014 ? The SEC revoked approval of 2 securities investment consultants for ten years; Thanjira Phonwattanakul (formerly named Natthareeya Kulpakawa), a consultant of Tisco Asset
, the SEC conducted further investigation and found that the aforesaid investment consultants who were TMB employees had failed to perform duties with responsibility and professional due care with regard
Bangkok, June 3, 2016 ? The SEC has revoked approval of an equity investment consultant named Veerachai Pasutanon and a capital market investment consultant named Jakkrit Hongnakorn, for committing dishonest acts against clients? assets, using clients? trading accounts to seek their own personal gains and acting beyond their scope of duties.Veerachai and Jakkrit worked at Capital Nomura Securities Public Company Limited and Asia Wealth Securities Co., Ltd. respectively, when the misconducts were...