on the clients? behalf at a high trading volume and value. Later, the clients demanded her to compensate for losses incurred from trading. In addition, {A} admitted to trading in such manner by giving
Bangkok, May 25, 2015 - The SEC revoked an approval of {A}, a capital market investment consultant, for trading securities on behalf of client, making trading decision for securities in the account
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete
Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate
therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
Capital Market Business (No. 7) dated 30 August 2017. ** Investment consultant on non-complex products in the capital market and investment units or debt securities having high-risk or complex
Bangkok, September 9, 2014 - The SEC suspended {A}, a securities investment consultant of Country Group Securities PLC., for trading on a securities trading account of the client without client's
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
Bangkok, March 17, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading derivatives contracts on behalf of client.The SEC probed
Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the