Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC 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 Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
stakeholders were incorporated into the finalization process. The SEC has issued notifications specifying the amendments with the key points as follows: (1) To adjust the frequency of submitting IT
penetration testing frequency to once every three years, increasing controls for generic user accounts, and maintaining incident records for at least two years with root cause analysis; (4) To adjust the
three years or upon occurrence of a widespread adverse incident; (2) To adjust the submission schedule for the Risk Level Assessment (RLA) report and IT audit report to be within the same period (during
and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHATPONG WATANAJIRAJ Approval Type of approval Effective date Expiry date No records to
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname น.ส. ชยุดา เจียรวนนท์ Approval Type of approval Effective date Expiry date No records to
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. SIRIKHUN TRIWITTAYAKHUN Approval Type of approval Effective date Expiry date No records