duty as the approved capital market investment consultant for 9 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such
investment consultant for 11 months. Owing to the fact that the approval period remains until December 31, 2015, the approval shall be suspended until the lapse of such period and his re-application for
as follows: 1. Suspended {A} from his duty as the approved capital market investment consultant for 11 months. Owing to the fact that the approval period remains until December 31, 2015, the approval
duty as the approved securities investment consultant for 2 years and 6 months. Owing that {A}'s approved securities investment consultant status only lasts until December 31, 2016, her approved status
investment consultant for 6 months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014 which is less than 6 months, the suspension was then imposed
months. Owing to the fact that {A}'s approved securities investment consultant status only lasts until December 31, 2014, his approved status was suspended until that date while the rest of suspension
Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients
Bangkok, March 13, 2015 - The SEC suspended two investment consultants of RHB OSK Securities (Thailand) Plc. {A}, a securities investment consultant, was suspended for trading securities on behalf of
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the