Business Development (DBD) on its 101st Anniversary. Mrs. Auramon Supthaweethum, Director General of DBD, gave a warm reception on this special occasion. In collaboration with this event, the SEC made a
Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction 1. Mr. Thitikorn Jiravichai2. Mr. Peraphon Phannachit3. Mr. Siripot Sirikulpibun4. Mr. Arthit Thamchetporn5. Mr. Phattrarapol Wasuphiruk6. Mr. Tongkarn Seharajnives7. Mr. Tanasin Gleeplumjeak8. Mr. Tarawut Leelayuthto9. Miss Warisara Srichaipunha...
Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction Mr. Wiwat Chiamvitayanukul Performing duty as marketing officer without taking into account clients? interests by supporting clients to buy securities in the manner that risked their financial status and payment ability...
Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction Mr. Somchart Mahakijkosol Engaging in providing rebates to clients, which are not deemed as benefits customary to services rendered in the normal course of securities business, thus violating the Regulations of the Stock Exchange of Th...
Name of Marketing Officer Brief Description Notification/Section SEC Administrative Sanction Miss Ponpimon Laochariyakul Buying or selling securities for her own benefit by using clients? accounts Notification No. SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, clause...
Bangkok, February 15, 2006 ? The SEC Board was briefed on the latest developments in the investigation of the securities transactions of Shin Corporation Plc. (SHIN) at the board meeting today
Monetary Authority of Singapore to double check UBS?s document to ensure its accuracy and completeness. Regarding Form 246-2 irrelevantly filed with errors by UBS on August 24, 2001, the SEC urges anyone
Bangkok, July 27, 2006 ? The SEC has put seven approved investor contacts (marketing officers) on one-year probation for violating the Stock Exchange of Thailand?s Notification Regarding Authorized