Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment

inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the

Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment

securities market investment consultant of the same company for trading securities on behalf of client.Following a customer complaint against {B} and {A}, as well as a report from RHB OSK Securities (Thailand

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, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

Bangkok, October 7, 2013 - The SEC sanctioned two executives and six investment consultants of Country Group Securities Plc., in relation to trading shares of Angpao Assets Plc. (PAO). The sanctions

List of investment analysts / investment consultants classified by company Please wait... List of investment analysts / investment consultants classified by company Please enter search criteria. Date

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any