violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. The SEC, therefore, suspended Bantherngsak from his duty as the approved securities investment
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
complex instrument type 2 suspended for two months, effective from 21 October 2019. --------------------------- *Investment consultant on complex instrument Type 2 means an investment consultant
Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
form of cash or short-term securities (Cash Company). In case of posting the Trading Halt (H) and Trading Suspension (SP) sign, trading activities are suspended when an event occurs and impacts decision
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
) with an CPA license being suspended; (3) having a record of being revoked from CPA status, unless where the reapproval has lapsed for a period of not less than three years prior to filing an application
SHARE : SEC suspends three investment consultants for failing to perform duties with responsibility Thursday 28 March 2019 | No. 34 / 2019 Bangkok, 28 March 2019 – The SEC has suspended approval of three
shall prepare a monthly account, and when derivatives business operators stop doing businesses or are suspended from operating their businesses to segregate customer assets from the derivatives broker