Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved capital market investment consultant for two months, effective from February 9, 2015
capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his
therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market
Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended {A} from his duty as the approved securities investment consultant for a month and 10 days
*. The SEC, therefore, suspended Acting Subbieutant Saroj from his duty as the approved securities investment consultant for a year and 2 months. Having considered that {A} had already been suspended by
Bangkok, 23 June 2017 ? The SEC has ordered Polaris Capital Public Company Limited (POLAR) to have an auditor conduct a special audit on the sources, existence and completeness of its accounting
institutions and debt instrument issuance as its funding sources for making advanced payments and purchase deposits. The value of such transactions has increased significantly from 2015 by a 58 percent increase