Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and
2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The
process of temporarily suspending their business or suspended business operations by SEC List of company licensed Derivatives Dealing (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company Abbreviation Company
process of temporarily suspending their business or suspended business operations by SEC List of company licensed Securities Brokerage: Debt Securities (Securities Company) ชื่อย่อ ชื่อ เว็บไซต์ Company
process of temporarily suspending their business or suspended business operations by SEC รายชื่อบริษัทที่ได้รับใบอนุญาต การเป็นนายหน้าซื้อขายหลักทรัพย์อันเป็นตราสารแห่งหนี้ (ประเภทบริษัทหลักทรัพย์) ชื่อย่อ
process of temporarily suspending their business or suspended business operations by SEC รายชื่อบริษัทที่ได้รับใบอนุญาต การเป็นผู้ค้าสัญญาซื้อขายล่วงหน้า (ประเภทบริษัทหลักทรัพย์) ชื่อย่อ ชื่อ เว็บไซต์
suspended the approval for Patamavan as capital market auditor. However, she has resigned from the position since 22 March 2019. The SEC therefore will not accept her future application for approval as a
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading
. SorKhor. 49/2552 Re: Approval for Investor Contacts and Standards of Conduct dated 14 October 2009, the SEC suspended {A} for three months from June 17, 2010 and reprimanded {B}. The SEC also recorded their