{C}, a securities investment consultant. They were employees of Country Group Securities PCL while the misconduct occurred. Following the complaint filed with the SEC and the complaint inspection

Bangkok, July 2, 2015 - The SEC suspended four investment consultants for misconduct concerning share price manipulation. Those suspended were {A} and {B}, securities investment consultants and ex

decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by

were submitted for a certain period of time.  The actions of {A}, {B} and {C} that made trading decisions on the clients? behalf were misconduct while {D}'s action was failure to perform her duty in

for five days for the recent misconduct, the suspension imposed by the SEC shall remain for one month and twenty-five days, effective from May 1, 2013.  With regard to the {B} case, following investor

consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and

of submitting application to the SEC Office: (a) having been finally sentenced for misconduct as specified in sub clause (3) in case of juristic person; (b) having been finally sentenced to

personal data from its cooperation with governmental agencies: Data for consideration of approval and inspection of wrongdoings from the Bank of Thailand (BOT) and the Office of the Insurance Commission (OIC

ทำอันไม่เป็นธรรมเกี่ยวกับการซื้อขายหลักทรัพย์ (Market Misconduct) เมื่อเกิดขึ้นจะมีการดำเนินการบังคับใช้กฎหมายอย่างเข้มงวด และระดับความรุนแรงของความผิดจะสูงขึ้นจากมาตรการที่ขับเคลื่อนครั้งนี้ รวมทั้ง

. Their misconduct also included arranging or allowing fabrication of accounting records inconsistent with the facts to deceive other persons. The 25 persons charged with the criminal complaints are as