Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's
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
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
Bangkok, May 9, 2014 ? The SEC supports Thailand Post, Counter Service at 7-11 and other leading retail shops, and Tesco Lotus to be paying agents for investment in mutual funds by this June. With
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
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
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
investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has
as an investment consultant for complex products type 1** for a period of two years, five months and seven days, effective from 17 March 2021. However, since her approval period ends on 31 March 2021