Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of

Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

as an investment consultant for complex products type 1** for a period of two years, five months and seven days, effective from 17 March 2021. However, since her approval period ends on 31 March 2021

explanation to the SEC accordingly.       In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities

inappropriateness for acting as capital market business personnel.   Investors intending to subscribe for investment units of mutual funds are strongly advised to always verify transaction confirmation documents to

suspended the approval for {A} as an investment consultant for complex instruments type 1** for nine months and 22 days, effective from 22 April 2020. Investors are strongly advised to be cautious and

repo agreements of listed securities and investment units with both institutional investors and non-institutional investors. Thus, securities companies and investors will be able to use such repo

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus