Sanction Mr. Somchart Mahakijkosol Engaging in providing rebates to clients, which are not deemed as benefits customary to services rendered in
Sanction Miss Ponpimon Laochariyakul Buying or selling securities for her own benefit by using clients? accounts
2. Miss Yuvadee Kulvanichpisit3. Mr. Kanpol MarthongNotification No.SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21, 2000, amended by Notification No. SorThor. 36/2545 Re: Registration of Marketing Officer (No. 4) dated September 16, 2002. clause 15/1
Sanction 1. Miss Nasai Saneykun Notification No.SorThor. 67/2543 Re: Registration of Marketing Officer dated December 21,2000, amended by
Sanction MISS SUNAN WIRUCHVARAKUL Clause 14 (6) , Notification of the Office of the SEC No.SorThor. 67/2543 Re: Registration of Marketing Officer
of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal Sanction
: Type of Enforcement : -- All -- Administrative Orders Administrative Sanctions Cases Settled Civil Sanction Criminal Complaints Date from : To : Keyword : Search Relevant Informations > Criminal
Settled | Administrative Orders | Administrative Sanctions | Civil Action Relevant Informations > Criminal Sanction - annual Statistics > Administrative Sanction - annual statistics > Civil Sanction
Sanction Miss Thiwaporn Eiamsa-Ard Making decisions to buy and sell securities for clients Notification No. SorThor. 67
Sanction Miss Sirin Trakoolwong Buying or selling securities beyond clients? orders without authorization causing damages to such clients