have contravened the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended him from being an approved investment consultant of complex products type 1 and an investment

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

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

had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a

investment.  The conducts of all three contravened rules and regulations set forth in the Notification of the Capital Market Supervisory Board. In particular, both {D} and {A} failed to properly discharge

demonstrating inappropriateness for acting as capital market business personnel.  Investors are strongly advised not to give passbooks and signed withdrawal slips to investment consultants to facilitate execution

all sectors of the capital market, namely the Association of Thai Securities Companies (ASCO), the Association of Investment Management Companies (AIMC), the Thai Bankers Association, the Association of