Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng
Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities
his approval as investment consultant and branch manager or equivalent position for two months for failing to comply with the client’s instruction, effective from 5 April 2019, and disclose the
Standard Buillion|VGI Consultant (Thailand) Co., Ltd. |SB Gold (Thailand) Co., Ltd. Website: www.standardbullion.com.hk, www.trader9999.com : Unlicensed securities and derivatives business
market business personnel under the provisions of the Notification of the Capital Market Supervisory Board*. The SEC therefore revoked the approval of Saowarat as an investment consultant for complex
had affixed signature on subscription orders, redemption orders and switch orders of investment units, in his position as investment consultant, without meeting with or giving advice to a client in
wrongful acts against investors’ assets are liable to the highest sanction of revocation of approval for investment consultant for Complex Financial Products Type 2. However, the approval for Somchai as
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the