Miss Pimmada Chutimunta Miss Pimmada Chutimantanon, as the Director responsible for the operation of Siam Grander Management Co., Ltd., jointly with other alleged persons operated derivatives broker

therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017.Apple Wealth

therefore revoked the approval as a capital market investment consultant and banned him from re-applying for an approval as capial market personnel for 10 years, starting from 21 October 2017. Apple Wealth

account owner.The SEC and RHB OSK found that {A} took securities trading orders from a client using an alias through chat program. The client also sent securities trading orders on behalf of other 12

investment consultants offered for sale of 5-year structured notes to the client. The client made investment based on the understanding that the bank would redeem the notes after six months as from the

securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

suspension imposed by the SEC shall remain one month, effective from January 8, 2015. Besides, {A} has been approved as an investment planner and held a position equivalent to a department director while the

the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

Union Gas And Chemicals Ltd. Union Gas And Chemicals Ltd. (Union Gas), by Miss Suchanya Lapvisuthisin as the managing director responsible for the operation of Union Gas, aided and abetted Mr

submit the financial reports to SEC Office within the period specified in the notification as follows : (1) the annual registration statement (Form 56-1) for the year 2019 and (2) the annual report