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...
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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
SCB ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 20/11/2018 - 26/11/2018
Line open chat ชื่อ Stock Learning Trading Group166 : Unlicensed securities and derivatives business (Disclosure Date : 18/01/2024)