Thai SEC Executive Penalty Challenged by Brokerage Chief

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Thai SEC Executive Penalty Challenged by Brokerage Chief

Postby » Tue Sep 13, 2016 7:00 pm

The CEO of brokerage Apple Wealth Securities has become the first ever executive to challenge a penalty imposed by Thailand’s stock market regulator, according to Reuters.

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Prasit Srisuwan denied any wrongdoing after Thai Securities and Exchange Commission (SEC) banned him from working at any securities firm for two years due to inadequate client supervision.
I’m ready to fight in court if needed.

The case comes after investors criticised what they regarded as “light sanctions” on executives imposed by SEC in December for insider trading, leading to calls ... (read more)

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