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, 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

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at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

had misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the

misappropriated the client’s money by forging the client’s signature, revising the client’s significant information to access the client’s mobile banking account and transferring money from the client’s account

Following an inspection report from Bank of Ayudhya, a limited broker dealer and underwriter (LBDU) licensee, and SEC’s further investigation, it was found that Vanatsavadee, securities investment

Bangkok, June 10, 2014 - The SEC suspended two capital investment consultants, namely {A} and {C}, and a securities investment consultant {B} for trading securities on behalf of the client and

Mrs. Pornanong Budsaratragoon, Secretary-General of the Securities and Exchange Commission (SEC), together with the SEC’s executives, participated in the opening ceremony of Chiangmai Money Expo 2023