Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report
Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
trading room. He failed to keep all clients' trading orders and some trading orders were made after the trades were executed. In addition, {A} has already been suspended by Hua Seng Heng Gold Futures Co
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
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
Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Bangkok, February 4, 2013 - The SEC suspended two capital market investment consultants, namely, {B} and {C}, as well as, two securities investment consultants, namely, {A} and {D} (formerly {F}), of