and accurate information in materiality for the client?s investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in

capital market*, the SEC therefore suspended {A} from his duty as the approved securities investment consultant for one year and six months. Having considered that {A} had already been suspended by his

therefore suspended {A} from his duty as the approved securities investment consultant for one month, effective from February 23, 2015.---------------* Clause 20(2) of the Notification of Capital Market

materiality for the client's investment decision was considered failure to perform duties with responsibility and due care as the capital market professional which was in violation of the Notifications of

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

.   ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager,  is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31

Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1

maximum returns and managing investment risks. The I Code aims to build institutional investors? long-term credibility, and protect the best interest of asset owners and the capital market at large.As

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated