without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam
of Commerce on 24 May 2018. Subsequently, On 13 December 2018, the Extraordinary General Meeting of the Company’s shareholders No. 1/2018 passed resolution approved the cancellation of capital increase
Having joined SEC since 1999, Assistant Secretary-General Archinee Pattamasukhon holds a bachelor’s degree in Business Administration (Finance), the University of the Thai Chamber of Commerce
Board Mrs. Sorada Lertharpchit Representative of Permanent Secretary of Ministry of Commerce Education M.B.A., Srinakharinwirot University B.B.A. (Accounting), Ramkhamhaeng
Board Mrs. Sorada Lertharpchit Representative of Permanent Secretary of Ministry of Commerce Education M.B.A., Srinakharinwirot University B.B.A. (Accounting), Ramkhamhaeng
derivatives trading orders on behalf of a client. She admitted making trading decisions and sometimes submitting internet trading orders on behalf of the client. Moreover, {B} and Kantanapat, the securities
client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
failed to inform a client of material information that was likely to affect investor's interests.Following the SCB report, the SEC probed into the case and found that a client wanted to sell investment
}, the SEC further probed into the case and found that {A} persuaded his client to invest in derivatives contracts by exaggerating return from investment. He had prepared his own documents for giving
Waterhouse Co., Ltd. • Member, Board of Governors, Stock Exchange of Thailand • Academic Member, Accounting Profession Supervision Council, Ministry of Commerce • President, Institute of Certified Accountants