Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
Bangkok, March 22, 2013 - The SEC imposed a two-month suspension on {A}, a derivatives market investment consultant of Hua Seng Heng Gold Futures Co., Ltd.The SEC received a report from Hua Seng Heng
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities
discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of
advice on derivatives investment without approval through many channels such as website, YouTube, email, phone, SMS and Line application. {A} and {B}, then investment consultants at KGI, cooperated with
Bangkok, September 12, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC suspended approval granting to {A} as a capital market investment consultant for three months; according to the sanction
Bangkok, December 8, 2014 - The SEC suspended {A}, a capital market investment consultant and investment planner for six months. She was an Assistant Managing Director of {X1} Co., Ltd., while the