found to have concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.{A}'s misconduct is deemed irresponsible and

  Bangkok, June 2, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for using the client's account for her own trading and illegal use of the client's assets. She

Bangkok, June 2, 2015 - The SEC revoked an approval of  {A}, a capital market investment consultant, for using the client?s account for her own trading and illegal use of the client's assets. She was

performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account

} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation

Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand

Thai investment การใช้คุกกี้​ ก.ล.ต. ใช้คุกกี้จำเป็นเพื่อการทำงานของเว็บไซต์  และอาจใช้คุกกี้ชนิดจดจำข้อมูลซึ่งคุณสามารถเลือกเปิด

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

Following the tips from various sources to SEC, several investment solicitations have been found via online channels such as websites, Facebook and YouTube regarding the products that may be liable

Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek