Complex Type 3 Investment Consultant

lawsuit against them with the Bangkok South Criminal Court.The Bangkok South Criminal Court ruled against both defendants as principals on two counts in accordance with Section 42 Chor (1), (2) of the

this case, the SEC?s probe found that Yongyuth and Vorapin had sold TUCC shares in such a way that taking advantage of others by using non-public information material to TUCC share price. They learnt of

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

client?s behalf and failure to keep complete record of securities trading orders were in violation of the Notifications concerning personnel in the capital market*, the SEC therefore suspended {A} from his

Bangkok, July 4, 2016 ? The SEC has revoked the approval of two capital market investment consultants, namely Ms. Panita Autthasereevong and Ms. Nitchawan Singkham, for 10 years each, starting July 1

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