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
strongly advised to thoroughly check and make sure that all receipts or evidence of payment are issued by the companies in charge. In case of making an agreement to buy an investment product outside the
Bangkok, February 11, 2013 - The SEC imposed a one year suspension on {A}, a capital market investment consultant of Finansia Securities Plc., effective from February 8, 2013; and also disclosed
Bangkok, October 1, 2012 - The SEC imposed administrative sanctions on seven investment consultants/analysts by revoking approval of {A}, suspending {B} of Bualuang Securities PLC, {C} of Kasikorn
Bangkok, February 18, 2013 - The SEC imposed a five-month suspension on {A}, a securities market investment consultant of Bualuang Securities Plc., and a three-month suspension on {B}, a securities
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
prevent any damage from frauds. Accordingly, the bank has terminated the employment of these investment consultants without making any severance payment, initiated legal actions, and compensated every
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known that the company would be unable to fulfil the sub-contract terms due to the cancellation of the power plant project. Their actions resulted in financial damage to IEC at the total amount of 156.8
) dishonestly diverted company assets to himself or a third party and sought unlawful gains for himself or others, causing damage to WORLD at the total amount of 30 million baht. Ms. Hongsri rendered assistance