client gave them the authority to take care of the account. As such, both investment consultants had entered securities trading orders on the client's behalf and then informed the client afterwards. {B

deduction measures period, for another three years, for the filing of registration statements and annual registration statements by those companies disclosing the data on greenhouse gas emission and

Bangkok, July 31, 2013 - The SEC suspended three investment consultants of ZMICO Securities Co., Ltd; two-month suspension on {A} and {B}, and one-month suspension on {C}.  In this connection, the

Montpelier Financial Consultants : Unlicensed securities and derivatives business (Disclosure Date : 04/04/2013)

Bangkok, June 13, 2013 - The SEC suspended two capital market investment consultants of Finansia Syrus Securities Plc; namely {A} for two months and {B} for one month.The SEC's routine inspection of

Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of

consultants to make trading decision on their behalf and always submit trading orders via recordable channels.  *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited

Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and

Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market

Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment