Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
persons to hold not more than 1/3 of total investment units sold.? In case any person or group of persons hold an amount exceeding the limit is barred from making additional investments, the asset
Prohibited Characteristics of Directors, Executives and Major Shareholders of Trustees
Securities Co., Ltd. in Had Yai City, Songkla province deems Tawatchai as having prohibited characteristics of securities company executives. Consequently, he is also barred from the performing of duties of
, Kannida, Pakkawan and Kanchanarath, are prohibited from trading securities or derivatives for a period of 30 months each and are barred from serving as director or executive in any securities issuing
{B}'s action was also deemed as breach of duty by performing investment analyst or investment consultant duty without obtaining the SEC's approval. Their actions were classified as prohibited
3,388,672.50 baht, 1,121,980 baht, and 621,980 baht, respectively. In addition, Chantip will be prohibited from holding position as director or executive of any publicly traded company or any securities
Determining Proportion of Directors of Derivatives Exchange and Prohibited Characteristics of Directors of Derivatives Exchange and Derivatives Clearing House