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

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

: Unapproved public offering of digital token (Disclosure Date : 02/06/2020)

: Unlicensed securities and derivatives business (Disclosure Date : 12/03/2021)

: Unlicensed securities and derivatives business (Disclosure Date : 17/03/2021)

: Unlicensed digital asset business (Disclosure Date : 18/01/2023)

: Unlicensed securities and derivatives business (Disclosure Date : 05/04/2021)