must comply with derivatives investment rules and be managed with due care for the benefit of investors. Maximum limit of derivatives investment must be set and clearly stated in the prospectus together
and deliberation as a professional. His misconduct was in violation of the Notification of the Capital Market Supervisory Board*. The SEC therefore suspended his approval as securities investment
planning whereby securities brokers and derivatives agents would be allowed to offer services on asset allocation and investment planning in the forms of program trading and portfolio advisory with
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
trading accounts regularly, as prepared by the responsible securities companies, and not to fall for promises of guaranteed returns because investment in the capital market could either yield profits or
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
financial statements as required by law. As a result, the POLOR share was suspended by the SET, which in turn affected the benefits of securities holders, the POLAR share price and investment decisions. Since
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
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients