According to TMB’s report, a Limited Broker Dealer and Underwriter (LBDU) licensee, Sarunya, an investment consultant for Complex Instruments Type 2, committed an offense and later OIC ordered a

Bangkok, October 5, 2015 ? The SEC notified Polaris Capital Public Company Limited (POLAR) to submit and clarify all information within seven days as well as ordered the approval of POLAR capital

specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October

responsibility and professional due care in contravention of Clause 23(2) and to have possessed a prohibited characteristic according to Clause 31(1) of the Notification of the Capital Market Supervisory Board

her employer for six months. The SEC thus ordered another two months? suspension to complete the term.  AEC Securities:  (10) {K}, capital market investment consultant and investment planner, is

Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

Bangkok, 3 August 2023 –  SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating

), Section 16 and subject to sanctions under Section 125. The public prosecutor ordered a non-prosecution order. DV Act S.Section 16 Criminal Complaint Filed with an Inquiry Official Dated 16/08/2017

consequently ordered by the Revenue Department to return the received tax benefits and pay a fine. In this regard, TMB paid a compensation to the client for the money paid to the RD;   (2)  In the case of {B