Bangkok, November 11, 2014 - The SEC revoked the approval of Panadda Burapawijitnon, a capital market investment consultant for ten years, and {B} (formerly named {C}), a securities investment
Bangkok, 15 March 2017 - The SEC has suspended the approval of two securities investment consultants, {A} and {B}, for failing to perform duties with responsibility and deliberation as a professional
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 on Nattawut Kijprasert of Adkinson Securities Plc. The misconducts involved and sanctions are as follows:In the case of Tippawan: Pursuant to investors? complaint and I V Global Securities Plc.?s report on Tippawan?s defrauding her clients, she admitted that she had forged the client?s signature in t...
") against Theeratchanon, Supaporn, and the above eight others, who were authorized to act for gas bottling plants, for the above misconducts. The prosecutor had charged the two accused and juristic persons
, switching and transferring investment units and signed two clients? names. In case of the first client, Thanjira signed the client?s signature to request a change of the client?s contact information to her
on the approval of {C} as a securities investment consultant for a period of two months, effective from 14 November 2018. Investors are strongly advised that if wishing to trade investment units via
organized seminars at two other hotels in Bangkok and Chiang Rai Province to solicit investments in a similar manner. Mandawee Tour's misconduct of securities offering in the category of debenture without
According to a referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during the month of May 2018, Kitti knew or possessed the inside information related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to Kongpat, his nephew-in-law, even though he knew or should have known that Kongpat could possibly us...
Offeror : Mr. Jirawud Kuvanant | Date of submission of the Statement of Intention : 24/01/2019
Offeror : Mr. Jirawud Kuvanant | Date of submission of the Statement of Intention : 07/02/2019