Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
encouraged to enroll the program to lift up the role of provident fund committee to meet with the international standards. The Accredited Provident Fund Committee Members Program (APC) is hosted by the
enroll employees in the provident fund, providing the default portfolio for a member who does not make a selection, and specifying the details of accounting and recording of fund incomes and expenses; 3
{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him
recent suspension of all Baht and cryptocurrency withdrawals. The e-form aims to further facilitate the affected investors’ submission of information and the SEC’s collection of clear and accurate facts
subject to a month suspension by Globlex Securities Company Limited, however, the suspension period shall remain one month; 2. Imposed two-month suspension on {B}, a securities investment consultant; and3
Bangkok, May 14, 2012 - The SEC imposed two-month suspension on {A}, an investment consultant of Asia Plus Securities Plc., one-month suspension on {B}, an investment consultant of Maybank Kim Eng
Bangkok, March 21, 2014 - The SEC suspended two securities investment consultants. A six-month suspension was imposed on {A} for trading securities on behalf of clients and a three-month suspension
, the suspension imposed by the SEC shall remain one month. Also, the SEC imposed on {B} 2 month suspension of the approval of capital market investment consultant, effective from June 5, 2015.