In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB). According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signi...
-19” ในงานสัมมนา aomMONEY Investment Conference 2020 ที่รวบรวมบุคคลสำคัญระดับผู้บริหารจากสถาบันการเงิน และองค์กรที่เกี่ยวกับการให้คำแนะนำด้านการเงินการลงทุน รวมถึงผู้เชี่ยวชาญในด้านต่าง ๆ รวม 30 คน
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
Notification of the Capital Market Supervisory Board.* SEC has therefore suspended {A}’s approval as a securities investment consultant for three months. However, since BBL has suspended her from performing
In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for TMB Bank Public Company Limited (TMB).According to the operating report of TMB, a Limited Broker Dealer and Underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Sunisa had misappropriated the client’s money by forging the client’s signature, revising the client’s signific...
SEC Secretary-General Ruenvadee Suwanmongkol said: “Today, SEC has issued the Notification prescribing the standard single form for opening an account for investment in all types of capital market
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
, including allowing investors an additional tax privilege for their investment in SSF units investing not less than 65% of net asset values in listed securities on SET. Investors are permitted to deduct an
Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the