Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a
Documents of Eveidence 1 ● Unauthorized use of a trading account by investment consultant ● Damage caused by inappropriate advice or incomplete information given by investment consultant/unit seller. ● Full
SHARE : SEC penalizes a former investment consultant for 7 years and 6 months due to wrongful acts against investors’ assets Friday 7 August 2020 | No. 145 / 2020 Bangkok, 7 August 2020 – SEC has
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and
consultant for complex products type 1 and investment planner, and (2) {B}, capital market investment consultant, for a period of two years six months each.In the case of {A}, the SEC's inspection revealed
therefore imposed the following sanctions: (1) Suspending approval for {A} as investment consultant for complex instruments type 1** and as assistant manager or an equivalent position for 15
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such as investment consultant registration, ?Pride of the Province? project and making complaints relating to capital market. ?12? stands for 12 months throughout the year while ?07? signifies seven days
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective Investment consultant ("IC