Bangkok, July 8, 2013 - The SEC suspended {A} from duty as an approved securities investment consultant for a period of three months.Following investor complaint, the SEC found from communication records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make securities trading decisions on behalf of the client. She then continuously made trading decision...
deficient operations, as ordered. The SEC Board, therefore, by virtue of Section 35, Paragraph 2, of the Digital Asset Business Law, passed a resolution ordering a suspension of Zipmex business operations as
เพื่อยกระดับการกำกับดูแลให้ยืดหยุ่น ชัดเจนขึ้น สอดคล้องกับแนวทางสากล เสริมสร้างความโปร่งใส สนับสนุนเสถียรภาพความยั่งยืนของอุตสาหกรรมกองทุนรวมในระยะยาว
to achieve personal goals.SEC Secretary-General Rapee Sucharitakul said, ?Saving and investment is important at every stage of our lives. We therefore encourage the public to make a viable financial
transactions to be easily done through internet effectively, crowdfunding has therefore become popular with continuous growth over the years as a viable funding option for SMEs and startups worldwide
transaction is considered commercially viable, the price of AJP shares to be issued for share swap at 8 baht per share is not appropriate. The said view coincided with the opinion expressed by the independent
{E} for nine months. In case of {D} already been suspended by RHB OSK Securities (Thailand) Plc., for a month, the suspension imposed by the SEC shall remain eight months. For {A}, the SEC barred him
restriction /suspension of services, termination of services, or other types of actions; in case where a customer is found involved in a predicate offence or a money laundering offence under anti-money