Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
instruments type 1** for {A} for a period of 12 months, and the approval as investment consultant for complex instruments type 1 and investment planner for {B} for a period of 12 months***, starting from 9
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
On 23 April 2024, the Central Bankruptcy Court ordered JKN to enter business rehabilitation and appointed the company’s management as the Interim Business Rehabilitation Planner. The court also
Investment Planner