capital market investment consultant for 11 months. Having considered that he had already been suspended by Tisco Securities Securities for three months, the suspension imposed by the SEC shall remain 8
approved securities investment consultant for a year and 2 months. Having considered that Acting Sub-lieutenant Saroj had already been suspended by his employer for 3 months, the suspension imposed by the
already been suspended by his employer for one month; the suspension imposed by the SEC shall remain five months, effective from February 26, 2015.# # # #* Clause 20(2) of the Notification of Capital Market
his employer for 3 months, the suspension imposed by the SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
Bangkok, 4 January 2018 ? The Criminal Fining Committee has imposed separate fines on four offenders for publicly offering debentures without approval.The four offenders are: (1) Marnfah Group Co
Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry
Bangkok, June 7, 2016 ? The SEC has imposed a 10-year revocation of approval on a capital market investor consultant by the name of Pornthip Deesuk for performing duties dishonestly with the
Bangkok, July 26, 2016 ? The Criminal Fining Committee has imposed fines at the total amount of 8,618,831.25 baht on (1) Mr. Somporn Suebthawilkul, (2) Thaisri Insurance Public Company Limited, (3
Bangkok, December 2, 2015 ? The SEC Settlement Committee has imposed fines on (1) Korsak Chairasmisak, (2) Piyawat Titasattavorakul, (3) Pittaya Jearavisitkul, and (4) Athueck Asvanund at a total