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
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
According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, actions liable to be offenses committed by the three persons above were detected during 16
could influence the client’s investment decision. She also gave inaccurate information related to the fund’s net asset value (NAV), redemption price and offer price to the client; (3) In the case of {C
trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by
. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for
Bangkok, November 19, 2015 ? The SEC has filed a criminal complaint against (1) Saiphet Thongngao, (2) Sureerat Ardpaksa, and (3) Woraphol Muenbowon for jointly operating derivatives business without
December 2019, SEC will not accept his future application for approval as personnel in the capital market business for three months and 22 days, starting from 6 March 2020; (3) Suspending
investment. The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge