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

education, experience, investment goals, investment conditions and restrictions. It is important for investment consultants to exercise due care and clearly explain risk factors involved in mutual fund

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients

information on the misconduct of the five investment consultants. Investors are strongly advised to exercise discretion in making investment decisions and should be aware that fund products come with different

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)

Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of

Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of

consultants to make trading decision on their behalf and always submit trading orders via recordable channels.  *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and