characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business

wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as

Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction

, 2012.  In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two

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

Line "ผู้แนะนำการลงทุน (เลขที่ทะเบียน IC 048919)" impersonate "Investment Consultant with approval Identification number 048919" : Unlicensed securities and derivatives business (Disclosure Date : 06

ชี้ชวนส่วนสรุป_TISCOU11_filing & reduce fee 1 ก ก ! " 11 ก ก ก ก 11 (TISCO Roll Up Bond Fund #11) ก,-./0-กก123ก3ก,/ ก456-7 ก 8-/ก9 ก 1,000,000,000 < (=0,) 3< ?2ก29 ก 0- @AกBก

ชี้ชวนส่วนสรุป_TISCOUP5_filing & reduce fee 1 ก ก ! " 5 ก ก ก ก 5 (TISCO Roll Up Bond Fund #5) ก-./01.กก234ก4ก-0 ก567.8 ก 9.0ก: ก 1,000,000,000 = (>1=?-) 4= @3ก3: ก 1. ABกCก A4B

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