Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts
digital asset investment activities. Additionally, DA operators are required to retain the accurate, complete and updated records mentioned above for at least five years from the date of such operations
digital asset investment activities. In this regard, DA operators would be required to retain the accurate, complete and updated records mentioned above for at least five years from the date of such
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHATPONG WATANAJIRAJ Approval Type of approval Effective date Expiry date No records to
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname น.ส. ชยุดา เจียรวนนท์ Approval Type of approval Effective date Expiry date No records to