holding the position of acting branch manager at the bank.** The SEC has therefore revoked the approval as an investment consultant, which consequently disqualified her from performing duties as capital
the period of three months, approximately. There was, however, no record of the client?s registration for the internet trading at the branch during such period. Atthapol admitted to Krungsri Securities
Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch
Eng Securities (Thailand) Plc. that {A} had been authorized by two clients to make securities trading decisions on their behalf. Before this matter was reported to the company, {A} had told her branch
SorNor. 46/2553 Establishment of Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours (No. 2) http://capital.sec.or.th/webapp/nrs
of Branch Office and Serving Customers by an Asset Management Company outside Its Office Premises and Office Hours (No. 2) http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1
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
GMO-Z.COM CRYPTONOMICS (THAILAND) COMPANY LIMITED GENERALI LIFE ASSURANCE(THAILAND) PUBLIC PUBLIC COMPANY LIMITED JPMORGAN SECURITIES (THAILAND) LIMITED JP MORGAN CHASE BANK BANGKOK BRANCH JAY CAPITAL