Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
as: (1) Investment scams in the capital market, call SEC Hotline 1207, extension 22; (2) Online scams related to money deposits, withdrawals, payments, credit cards and loans
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
Bangkok, 24 October 2017 ? The SEC has revoked the approval for Mr. Pisist Phong-pheuag, then working for Apple Wealth Securities Public Company Limited, as a capital market investment consultant for
of credit risk to comply with international standards. Besides, pre-approval requirement for investment in SN will be removed.In addition, the funds investing in complex derivatives and SN will be
Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from
investment consultants: revoking approval of Auracha Vachirakulthon as securities investment consultant for 10 years, starting from December 22, 2015, and suspending approval of {B} and {C} as capital market
financial position and investment knowledge. In addition, the company failed to take sufficient measures to identify the clients and the true beneficiaries and did not reconsider appropriate credit lines for
payments on other clients' credit cards.The SEC has therefore revoked the approval of the eight securities investment consultants for the following different periods accordingly: (1) - (6) offenders for 10
Bangkok, June 25, 2015 - The SEC suspended {A}, a former capital market investment consultant of Phillip Securities (Thailand) Public Co., Ltd., for making trading decision on client's behalf and