having medium to high risk level without principal guarantee. He, additionally, did not give the client the fund prospectus before making the investment decision.Failure to inform the client of 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
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน "2021 UN Women WEPs Awards High-Level Dialogue: Envisioning the future for a more gender
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
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
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, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
Bangkok, January 14, 2015 ? The SEC suspended Acting Sub-lieutenant Saroj Wannamanomai, a securities investment consultant of Finansia Syrus Securities PLC., for trading securities on behalf of
Bangkok, February 6, 2015 - The SEC suspended {A}, a capital market investment consultant of Capital Nomura Securities PLC., for receiving trading orders from a person who was not the owner of