, and (5) breach of ethical and professional code of conduct prescribed by the Association of Thai Securities Companies (ASCO)1. The SEC therefore revoked the approval of Auracha as securities investment
SEC Secretary-General Rapee Sucharitakul said that there had been several fraud cases regarding investment in digital assets which might result in a huge loss for investors. This led to the
Limited: BLS;(6) Phillip Securities (Thailand) Public Company Limited; Phillip; and(7) Yuanta Securities (Thailand) Co., Ltd.: YUANTA2. Seven asset management companies, namely:(1) Krung Thai Asset
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
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
investment consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as Onjira Yuwadee, a securities investment consultant and
consultant of Krungsri Securities Public Company Limited (Krungsri Securities) and Apple Wealth Securities Public Company Limited as well as {B}, a securities investment consultant and {C}, a capital market
Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the