sanctions, namely: (1) a civil penalty; (2) a compensation at an equal amount to the benefit received or should have been received from committing an offence; (3) a suspension of securities or derivatives
SEC has imposed a 40-day-suspension on {A} as a securities investment consultant, and a two-month suspension on {B} as a securities investment consultant and investment planner. In addition, {B} was
market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from
Bangkok, 13 September 2016 - The SEC has imposed a two-year suspension of approval on {A}, Executive Chairman of {X1} Company Limited, for failing to supervise the Know Your Client/Client Due
, the suspension thus ends concurrently. In this regard, the SEC will not accept her future application for approval as capital market business personnel, starting from 31 March 2021 until the original
received or should have been received, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or
, reimbursement of investigative expenses incurred by the SEC, suspension of trading in securities or derivatives contracts, and bar from serving as a director or executive in a securities issuing company or a
, with the exception of {C} in which the suspension shall be effective from 22 April 2019. During this period, these persons are prohibited from performing duties relating to the management or acting
Bangkok, March 24, 2015 - The SEC disclosed an inappropriate behavior and imposed a suspension on {A}, a former employee of KGI (Thailand) Securities Plc., for failure to completely record client?s
employer for one year and six days, the suspension imposed by the SEC shall remain five months and twenty four days, effective from February 12, 2015.*Clauses 20(1) and (2) of the Notification of Capital