-month imprisonment and a fine of 500,000 baht for jointly with others manipulating share price of Krisdamahanakorn Plc. (KMC). The imprisonments were not suspended. On April 22, 1993, the SEC filed a
-month imprisonment and a fine of 500,000 baht for jointly with others manipulating share price of Krisdamahanakorn Plc. (KMC). The imprisonments were not suspended. On April 22, 1993, the SEC filed a
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the
Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of
Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he
behalf of clients were in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore suspended {A} from her duty as the approved
Bangkok, 15 March 2017 - The SEC has suspended two securities investment consultants, {A} for failing to perform duties with deliberation as a professional, and {B} for performing duties or providing
their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex
/2557 re: Regulations for Personnel of Business Operators in the Capital Market dated June 3, 2014. The SEC therefore suspended {A} from his duty as the approved securities investment consultant for 3