Bangkok, March 21, 2011 - The SEC filed a criminal complaint against {A}, {B}, {C} and {D} (former name - {E}), an investor contact (marketing officer) at SICCO Securities Plc. , with the Department
Bangkok, September 9, 2014 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A} and {B}, former executives of United Securities Plc., {C} {D} {E
Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a total fine of 11,962,385.44 baht on (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} (10) {J
her then employer, the SEC probed into the {D} case and found the investment advice records and e-mails indicating that {D} had been entrusted to trade derivatives on behalf of a client during November
According to the complaint handling report submitted by TMB and SEC’s further investigation, it was found that during August – September 2017, {D} and {A} jointly sold funds to a client. {D} forged
Bangkok, May 13, 2013 ? The companies aiming to broker a variety of investment units offered by different asset management companies will be eligible to apply for Type D license. Certain requirements
} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A
imposed on 10 persons, namely (1) {A} (2) {B} (3) {C} (4) {D} (5) {E} (6) {F} (7) {G} (8) {H} (9) {I} and (10) {J}.With the referral from the Stock Exchange of Thailand on irregular trading in UKEM shares
three investor contacts (2) {B} for interfering with client's assets (3) {C} for sending inappropriate orders (4) {D} for failing to orderly keep the accounts of given advice and received derivatives