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
suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two
she has already been suspended by Finansia Syrus Securities Plc. for six months, the banning of her application is thus remained nine months, starting from April 11, 2013.
violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital
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
sentence of imprisonment for 1 year and a fine of 100,000 Baht. As the defendant had no prior criminal record involving imprisonment, the Court suspended the execution of the imprisonment sentence for a
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
from a person being neither account owner nor account owner's appointee and failing to keep confidential client's information. In addition, the SEC suspended him from duty as an approved capital market
process of temporarily suspending their business or suspended business operations by SEC List of company licensed Securities Dealing (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation Company
process of temporarily suspending their business or suspended business operations by SEC List of company licensed Securities Underwriting (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation