Bangkok, June 20, 2007 ? The SEC issued suspension orders onto two investor contacts (marketing officers) for acting in contravention of the standards of conduct as prescribed by the SEC Notification

Bangkok, September 21, 2007 ? The SEC has suspended three investor contacts functioning as marketing officers for violating Clause 11(2) of the SEC Notification No. SorKhor. 15/2548 Regarding

Bangkok, February 21, 2007 ? The SEC has issued administrative sanctions on four investor contacts on the grounds of aiding or abetting unorganized market loans and malpractices relating to

Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands

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

Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with

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

Bangkok, December 1, 2008 ? The SEC imposed administrative sanctions on four investor contacts, as follows:  1.Pongsa Charoensettasi (revocation): Following investor complaints and his employer

Bangkok, October 15, 2008 ? The SEC imposed administrative sanctions on three investor contacts whose misconducts and respective penalties are as follows:   1. Preeyanuch Anuvongkul (revocation

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