violation specified in the Notification of the Capital Market Supervisory Board.* The SEC therefore revoked the approval of Nutnicha as a branch manager and capital market investment consultant and banned
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the
Bangkok, March 1, 2016 - The SEC has suspended {A}, a securities investment consultant at Bangkok Bank PCL., for failing to inform a client of material information, which consequently incurred
Bangkok, February 10, 2016 ? The SEC has filed a criminal complaint with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) against Global Consultant Co., Ltd. and Neil
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...
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...
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts 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 account or the accounts of other parties involved as well as depositing certain amounts back into t...
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