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
สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) โดยนางพรอนงค์ บุษราตระกูล เลขาธิการ พร้อมคณะผู้บริหาร ให้การต้อนรับคณะผู้แทนจาก Monetary Authority of Singapore (MAS) นำโดย Mr. Sopnendu
sellers who have benefited more than they should have (in cases where they still have a sufficient number of units at the time of compensation); (2) To increase flexibility for AMCs to pay monetary
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
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Mr. CHANAKUNT CHAIWATTANAWASU Approval Type of approval Effective date Expiry date No records
List of Approved persons / Licensees Please wait... List of Approved persons / Licensees Name - Surname Miss ATIKAN NIMMANTERDWONG Approval Type of approval Effective date Expiry date No records to