director or executive in a securities issuing company or a securities company for four months. The suspension period for the offenders serving as a director or executive in the above cases will commence
executive in a securities issuing company or a securities company for 20 months; (2) Sujeera shall pay a civil penalty, a compensation at an equal amount to the benefit received or should have been received
, especially those products for which the investment consultants receive high sales commissions or want to boost sales volume. Moreover, there was a lack of persons to monitor their investment after the
realization effect in the cryptocurrency market” Authors: Nakavachara, V., Amonthumniyom, T., Parinyavuttichai, P., Ratanabanchuen, R., Saengchote, K., & Vinaibodee, P. Provided by Nattawut Jenwittayaroje, SEC
persuaded other persons to do the same, and (3) Mrs. Panadda Soontornsaratul assisted Chanthani?s insider trading by allowing her to use her trading account for the purpose.Following a referral from the Stock
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from his duty as the approved capital market investment consultant for six months. Taking into account that he had
therefore suspended the approval for {A} as a capital market auditor for six months, starting from 19 January 2022. ________________________
Bangkok, 25 October 2017 ? The SEC in cooperation with securities companies, asset management companies and the Stock Exchange of Thailand Group exercised a joint cyber drill to raise the industry's