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, 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, 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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, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her

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Bangkok, October 24, 2014 - The SEC suspended two capital market investment consultants namely {A}, a consultant of Bualuang Securities PLC., for trading securities on behalf of clients and {B}, a