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

SEC gives information on posting trading signs on listed securities in accordance with SET regulations to protect investors. SET posts supervisory signs on listed securities to warn investors to make

opportunities, while ensuring that investors would benefit from having professional investment consultants or investment planners provide securities and derivatives trading services according to investors? pre

Currently, a large number of intermediaries provide investment products and services. They each tend to require investors to fill in a lot of information via various, different forms to open an

investment consultants who were in charge of this client for two consecutive periods of time, aided or abetted {A} in trading on behalf of the client as the client was not keen on investment and allowed Tanya

Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of

Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the