violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
Bangkok, February 10, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against Global Consultant Co., Ltd. and Neil
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
charge of capital market business and suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already
Following an inspection report from Bangkok Bank Public Company Limited, a limited broker dealer and underwriter (LBDU) licensee, and the SEC’s further investigation, it was revealed that Pongsak
suspended her approval as investment consultant for Complex Instruments Type 2*** and investment planner for one month and 10 days. However, the bank had already penalized Prapai by prohibiting her from
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
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction