Bangkok, 20 October 2016 - The SEC has suspended approval of 11 investment consultants of six securities companies for soliciting investors to purchase IPO and over-the-counter shares to seek
fine of Baht 7000. The jail term, however, was suspended. SEC Act S.303 Criminal Complaint Filed with an Inquiry Official Dated 30/07/2008
, was suspended. SEC Act S.303 Criminal Complaint Filed with an Inquiry Official Dated 17/03/2010
positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a
SHARE : SEC receives excellent score in the Corruption Risk Management Systems Assessment 2023 and higher score in the Integrity and Transparency Assessment 2024 Friday 2 August 2024 | No. 159 / 2024
Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report