the client. Her actions were therefore deemed as interfering with client's assets and failing to comply with professional standards of conduct. On {B} case, the SEC received a client's complaint stating

was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities

Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material

trading orders on his behalf. In 2006, 46 investor contacts were penalized for violating or failing to comply with the securities and exchange laws by committing such acts as making trading decisions

and failing to comply with the standards of conduct as prescribed by the SEC. The revocation has taken effect today. According to the SEC findings, Sutthasinee agreed to render a service of

day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2016 – 2018. Since the accused pled guilty, the Court

accused to pay a fine of Baht 1,431,000 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial

294,500 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2018. Since

a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the reviewed financial statements for Q1/2014 and the reviewed

because CGH is a listed company, Chupong has also contravened Section 89/7 by failing to perform duties responsibly and honestly, which is liable to the penalties under the second paragraph of Section 281/2