Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

Bangkok, May 10, 2011 ? The SEC is inviting the investing public to visit SEC Investment Mart at Money Expo 2011 which will run from May 12 to 15. SEC highlights include the latest investment trends

Bangkok, January 11, 2010 ? The SEC is inviting public comments on the proposed revisions to investment regulations of mutual funds, private funds and provident funds to enhance practicality, reduce

Bangkok, December 9, 2014 - The SEC suspended {A}, a capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for 6 months.After receiving a client's complaint against {A

Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate

Bangkok, January 14, 2015 ? The SEC suspended {A}, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of client and seeking benefits from the

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Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

LM Investment Management Limited Website: www.LMaustralia.com : Unlicensed securities and derivatives business (Disclosure Date : 17/04/2013)