Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
Capital Market Business (No. 7) dated 30 August 2017. ** Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex
holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
future application for approval as personnel in capital market business shall not be accepted for five years. In any case, since Krungthai Zmico has already suspended her from the role of investment
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Analyzing Investment and Giving Investment Advice dated January 18, 2012 and Clause 23(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 8/2557 re: Regulations for Personnel of
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
characteristic of capital market business personnel. SEC has therefore revoked his approval as investment consultant for plain instruments** and prohibited him from performing duties as capital market business