-employees of UOB Kay Hian Securities (Thailand) PCL (UOB Kay Hian), {C}, a capital market investment consultant and the Vice President of institutional Dealing Department of UOB Kay Hian and {D}, a capital

therefore suspended the approval of {A} as a securities investment consultant and banned her from performing duties as a branch manager in business related to capital market for four months, starting from 6

Bangkok, 17 August 2016 - The SEC has suspended two capital market investment consultants, namely {A} for making unauthorized trading decisions, and {B} for giving investment advice without any

first place. The clients therefore suffered damage.The 10 investment consultants worked for five securities companies, namely: (1) Capital Nomura Securities Public Company Limited, (2) Kasikorn Securities

Lor Thor 8/2557 Re: Rules on Personnel in the Capital Market Business dated 3 June 2014.  The SEC has therefore revoked Atchmima's approval as securities investment consultant for 10 years, and

own address and to submit capital reduction order for the client?s private fund. With the capital reduction payment, Thanjira bought investment units for the second client and Surasak. Moreover, she

} and a capital market investment consultant, namely {D}.Following the report and further probed into the case by Globlex Securities Company Limited, it was found during the first investigation that {A

Bangkok, October 16, 2014 ? Vorapol Socatiyanurak, SEC Secretary-General revealed that the Capital Market Supervisory Board has approved to revise the regulations on services concerning investment in

capital market businesses. More investment channels to support convenient and continuous investment in mutual funds will back the government policy to promote saving and investment discipline and

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