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, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

80,348 Fundamental Investment Analyst on Capital Market 169 173 173 176 177 178 180 180 180 175 177 179 Fundamental Investment Analyst on Securities 862 865 869 871 870 876 879 883 885 856 857 859

to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012; classified as prohibited characteristics of personnel in the capital market according to Clause 6(1) of

BROKERAGE SECURITIES COMPANY LIMITED SOCIETE GENERALE SECURITIES (THAILAND) COMPANY LIMITED THANSETTHAKIJ CAPITAL COMPANY LIMITED DEUTSCHE BANK DAOL INVESTMENT MANAGEMENT COMPANY LIMITED DAOL SECURITIES

Bangkok, September 23, 2013 ? The SEC is now seeking public comment on introducing an approval regime for technical analyst and the revisions of qualifications of investment analysts and investment