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Investor Alert สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ Printed on 14 January 2025 21:24 Investor Alert Investor Alert ( 4843 record(s) found) Name Type of action Disclosure Date Link
investor protection in this regard, the SEC has set up a special investor support team to ensure assistance and advice on withdrawal, receipt of returned assets or transfer of digital assets. The 24-hour
BANGKOK, November 20, 2006 ? The SEC ordered investor contacts, Surat Archacharoensuk and Saranporn Promwan, to be on suspension and probation, respectively on account of breaching the SEC?s Rules of
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
trading to the client. She also had the trader's name card made under the company's name and position of marketing officer, misleading the client to believe that such trader was an SEC approved investor
Bangkok, January 23, 2007? The SEC announced two suspensions and nine probations of investor contacts on the SEC-approved list today. The 12 wrongdoers contravened the Standards of Conduct as
BANGKOK, January 4, 2007 ? The SEC has put two investor contacts (marketing officers) ? Preecha Mateedulsatit and Weeraparn Teeraworn ? on probation for meddling with the securities trading accounts
BANGKOK, December 12, 2006 ? The SEC has revoked the approval for investor contact Vitaya Kongkeaw and put another investor contact Lat Charnanurak on suspension, both for violating the Rules of