mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
Bangkok, 15 February 2017 ? The SEC has revoked the approval of a securities investment consultant, Mr. Niran Rodchaiya, and banned him from functioning as capital market personnel for 10 years on
investment consultant for Napasook has already expired since 31 December 2019. SEC has therefore prohibited her from re-entering as personnel in the capital market business for a period of 10 years
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
redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5
processing and confirming the redemption orders in violation of the tax terms; (3) In the case of {C}, she was found to approve the redemption orders in the Bank’s investment unit trading system
? money intended for payments of investment unit purchases for personal gains.In so doing, they did not execute their clients' purchase transactions via the bank system, counterfeited fund passbooks and
Capital Market Supervisory Board.* The SEC has therefore imposed administrative sanctions with details as follows: (a) suspending the approval of {A} as securities investment consultant for two months
shares of another company as a joint investment with the client and would share capital gains with the client; however, she did not use the client’s money to invest in such shares, nor did she buy the