Bangkok, December 29, 2008 ? The SEC has revoked its approval for the investor contact status of Sarinrat Pongakramorn, a former bank officer, and imposed a one-year suspension on Surachada Chanmoosik, a former marketing officer of Finansa Securities Limited. 1.In the case of Sarinrat, her employer reported that she had obtained personal benefits dishonestly by forging signature to withdraw money from a client?s account, which was deemed a breach of duty. She was also found to have acted in such...
Bangkok, October 21, 2008 ? The SEC revoked approval for investor contact status of Tippawan Chaiyasawad, a former marketing officer of I V Global Securities Plc., and imposed a six-month suspension on Nattawut Kijprasert of Adkinson Securities Plc. The misconducts involved and sanctions are as follows:In the case of Tippawan: Pursuant to investors? complaint and I V Global Securities Plc.?s report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in t...
Bangkok, June 23, 2011 ? The SEC has suspended two investor contacts Meaunchit Limpodom of Siam City Securities Co., Ltd., and Kruawan Rittiwong of United Securities Plc., for six months and one year
Bangkok, August 5, 2009 ? The SEC imposed sanctions on two investor contacts for non-compliance with professional standards of conduct. In the case of Pimon Raksurong, former marketing officer of
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
Exchange Commission. Chapter 1 Application for Approval ______________________ Clause 4. Persons who obtain approval to be investor contact shall be divided into two categories which are Category A Investor
to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A investor contact
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A