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

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

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

-application for approval as capital market personnel for 4 years. Taking into account that {A} had already been suspended from her duty as securities investment consultant by her employer for 3 months; the

Perform Duty of Analyzing Investment and Giving Investment Advice dated January 18, 2012. The SEC therefore suspended {A} and {B} from performing duties of investment consultant for six months. Taking into

and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with

Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment

: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the

) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated

as capital market personnel for the period of one year; Suspension of {H} from performing duty as securities investment consultant for seven months.{A} and {B} served as the executives of Country Group