were effective as from October 5, 2013. {A} and {B} were banned from holding any securities company management position while approval for investment consultant of {C}, {D}, {E}, {F}, and {G} were
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
event, experts from Secure D Co., Ltd. and SEC Playground Co., Ltd. were guest speakers in a workshop attended by 120 IT security and cybersecurity personnel from the financial sector. The aim was to
Director, Deputy Chief Executive Officer - General Administration and Company Secretary, (3) {C}, and (4) {D}. The complaint was imposed on the ground of their collaboration in committing malpractice that
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
SEC also disclosed inappropriate behavior of {D}.The SEC?s routine inspection of investment consultants found that {A} (then worked at ZMICO Securities) had been authorized by his client to make
apply for the Type D license (limited brokerage, dealing or underwriting of investment units) and investment advisory service license. The revisions would help investing public to have greater access to
, for three months starting from September 1, 2011, and also reprimanded another two investor contacts, (1) {C} and (2) {D} for interfering with client's assets. In case of {A}, the SEC received a report
Bangkok, February 4, 2013 - The SEC suspended two capital market investment consultants, namely, {B} and {C}, as well as, two securities investment consultants, namely, {A} and {D} (formerly {F}), of
Securities Plc., {C} of KT ZMICO Securities Co., Ltd., {D} and {E} of GT Wealth Management Co., Ltd., effective from October 12, 2012 and (2) publicly disclosed investment consultant {F}'s inappropriate