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Bangkok, February 2, 2006 ? The SEC has cancelled an approval for Sanguan Thiravetyan as an investor contact functioning as marketing officer after finding that he had violated the rules of conduct
Bangkok, October 30, 2006 ? The SEC has disseminated a circular to all asset management companies today to update penalty procedures for unintentional or immaterial errors committed against customers
Bangkok, August 28, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Sutthasinee Sitti on account of misappropriating client assets
Bangkok, November 8, 2007 ? The SEC today revoked the approval for an investor contact by the name of Thitiratt Thongchlermwong functioning as a marketing officer in the securities and derivatives
Bangkok, September 17, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Siwakorn Trakunsom on account of committing dishonest acts
Bangkok, February 21, 2007 ? The SEC has cancelled an approval for Wanvadee Sripurd as an investor contact functioning as a marketing officer, effective from February 21, 2007. The revocation
image but also to overall market confidence. Any person disseminating this type of information has to be able to confirm and be responsible for his own statement, whereby such statement must be based on
To prepare market?s readiness for the inauguration of futures exchange in 2005, the SEC approved draft rules on licensing for derivatives agents. To apply for the license, applicants must possess the