consultant approval status. In addition, the SEC  suspended other three investment consultants: (1) {B}, then an employee of  Finansa Securities Co., Ltd.; (2) {C} of BT Securities Co., Ltd. (presently CIMB

Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn

Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders.  Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to

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, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex

(TSI), the Stock Exchange of Thailand, there was an incident of intentional dishonest act committed on December 11, 2014 when Atcmima took an exam for qualifying investment consultant under the name of

Jakkrit, the SEC received a complaint from a client of Asia Wealth. After further investigation, it was found that he had solicited the client to purchase securities of a company not listed on the Stock

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

Bangkok, July 31, 2013 - The SEC suspended three investment consultants of ZMICO Securities Co., Ltd; two-month suspension on {A} and {B}, and one-month suspension on {C}.  In this connection, the

Montpelier Financial Consultants : Unlicensed securities and derivatives business (Disclosure Date : 04/04/2013)