Bangkok, April 30, 2014 ? The SEC is seeking public comment on revision of rules governing financial advisors (FA) to enhance more clarity of rules and promote FA independence. The proposed revision
consultants to make trading decision on their behalf and always submit trading orders via recordable channels. *Clauses 20(2) and (3) of the Notification No. TorLorThor. 3/2555 which were prohibited
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
Bangkok, July 8, 2015 ? The SEC suspended three investment consultants for making trading decisions on the clients? behalf. Those investment consultants were Ashiya Ashiyakul, a former capital market
Bangkok, July 8, 2015 - The SEC suspended three investment consultants for making trading decisions on the clients' behalf. Those investment consultants were {A}, a former capital market investment
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, 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 consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and KTB Securities? investigation report. From the SEC probe, it was found that the complainant was l...
Montpelier Financial Consultants : Unlicensed securities and derivatives business (Disclosure Date : 04/04/2013)
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