Complex Type 3 Investment Consultant
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
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
investment consultants found that {A} failed to keep complete records of a high volume of client's derivatives trading orders; while {B} failed to keep complete documentation and evidence of many derivatives
Kacha Buacharoon, a securities investment consultant of Phillip Securities, for failure to keep complete records of clients? securities trading orders.Following the investigation report of Phillip
of Clause 20(3) of the aforesaid notification. The SEC therefore publicly disclosed {B}' s inappropriate behavior in performing duties as an investment consultant and will keep a demerit record for