Bangkok, June 23, 2011- The SEC revokes its approval of Chalerm Suakamram, an investor contact and a branch manager of Siam City Securities Co., Ltd., and bans him from acting as an executive in
Bangkok June 20, 2011 - The SEC prohibits {A} and {B}, former investor contacts from serving as personnel in the capital market from June 18, 2011 onwards, for their failure to comply with standards
Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A} for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets
investment advice or investor contact. Following the complaint lodged by client and examination report of CIMB Thai Bank PCL, the SEC further probed into the case and found that the bank officers who were not
are underestimated and (3) familiarity bias: making decision based on familiarity such as investing in the firm for which the investor is working. As the regulator, the SEC has put more weight on
Bangkok, January 16, 2012 - The SEC has suspended three investor contacts for their involvement in the share price manipulation of Focus Development and Construction Plc. (FOCUS) and Inter Far East
development. The SEC urged TIA to consider the possibility to become independent investment advisory institute supporting Thai capital market development. The institute could be a center for investor education
Bangkok, December 21, 2011 - The SEC Board agreed in principle to allow offer for sale of foreign Collective Investment Scheme ("CIS") to non-retail investor in Thailand in accordance with the 2010
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