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, 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, August 5, 2009 ? The SEC imposed sanctions on two investor contacts for non-compliance with professional standards of conduct. In the case of Pimon Raksurong, former marketing officer of
suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two
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 Chanmoosik, a former marketing officer of Finansa Securities Limited. 1.In the case of Sarinrat, her employer reported that she had obtained personal benefits dishonestly by forging signature to withdraw money from a client?s account, which was deemed a breach of duty. She was also found to have acted in such...
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...
Bangkok, August 4, 2011 ? In the meeting no. 8/2011 on August 4, the SEC Board resolved to appoint two governors of the Stock Exchange of Thailand (SET) to replace those whose term has ended. The
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
3, 2014 which has been promulgated in replacement of the said two notifications.