Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units
is suspended for two months, starting from 18 December 2020. TMB itself had already terminated the employment of all three investment consultants. {D} and {A} were dismissed without compensation
Bangkok, April 24, 2015 - The SEC imposed sanctions on three investment consultants namely {A}, a securities investment consultant and branch manager, {B}, a capital market investment consultant and
3 months, the suspension imposed by the SEC shall remain 6 months. Also, the SEC imposed 40-day suspension on the approval as securities investment consultants on {B} and {C}. The suspension of three
Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment
Bangkok, 14 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against (1) Mr. Siwasit Sainumphung (2) Ms. Noppawan Suwan, and (3) Mr. Viroj Arnokkaeo for manipulating the share price of Yong Thai Public Company Limited (YCI).Following the referral from the Stock Exchange of Thailand (SET), the SEC?s further investigation revealed that Siwasit had agreed to or colluded with five other persons to use several trading accounts to trade YCI sha...
Bangkok, 11 September 2017 - The SEC has suspended the approval of five securities investment consultants for failing to perform duties in compliance with professional standards. The suspended persons are: (1) {A}, (2) {B}, (3) {C}, (4) {D}, and (5) {E}. The SEC has also banned the persons in (2) - (4) from performing duties as a branch manager in a business related to capital market. All of the investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of...
results of three companies under the audit and review responsibility of her audit group. She had the authorized access to view the draft financial statements in the EY information system and disclosed the
without double-checking the correctness of processing and confirming the redemption orders in violation of the tax terms.SEC found the three investment consultants to have failed to perform duties with
license with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police) for further legal proceedings. With reference to clues and the SEC?s findings, the three aforesaid individuals