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

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

SEC is conducting a public hearing on the principle excluding promulgation of research analysis among investors in ASEAN countries from being regarded as the activity of investment consultant, in

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, 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, 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

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the