Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
fine of Baht 7000. The jail term, however, was suspended. SEC Act S.303 Criminal Complaint Filed with an Inquiry Official Dated 30/07/2008
, was suspended. SEC Act S.303 Criminal Complaint Filed with an Inquiry Official Dated 17/03/2010
positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a
Bangkok, December 4, 2012 - The SEC suspended {A} of Finansia Syrus Securities PLC for four months and 15 days; and also suspended {B} of Hua Seng Heng Gold Futures Co., Ltd. for three months
to apply information from their observation trip to their studies under such program. The lecture was held on 3 March 2023, at the SEC Building.
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, April 25, 2013 - The SEC suspended {A} of KT Zmico Securities Co., Ltd., for five months. The KT Zmico Securities Co., Ltd. reported to the SEC that {A} had been authorized by her clients to