Bangkok, January 30, 2014 - The SEC imposed a three-month suspension of approval on {A} of Maybank Kim Eng Securities (Thailand) Plc., Nakhon Ratchasima branch.This follows a report from Maybank Kim

make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the

Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete

Bangkok, July 20, 2016 ? The SEC is seeking public comments on the proposed rules governing provision of investment services to promote intermediaries? competitiveness in the securities brokerage and

Bangkok, December 24, 2013 - The SEC will not consider an application for approval as capital market personnel in case of {A}, a former securities investment consultant of Thanachart Securities Plc

Bangkok, July 17, 2013 - The SEC revoked approval as well as disclosed inappropriate behavior of {A}, a capital market investment consultant of Kasikorn Securities Plc.  Following the report from

Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following