Complex Type 1 Investment Consultant
Bangkok, September 21, 2007 ? The SEC has suspended three investor contacts functioning as marketing officers for violating Clause 11(2) of the SEC Notification No. SorKhor. 15/2548 Regarding
Bangkok, October 15, 2008 ? The SEC imposed administrative sanctions on three investor contacts whose misconducts and respective penalties are as follows: 1. Preeyanuch Anuvongkul (revocation
Bangkok, October 13, 2009 ? The SEC imposed administrative sanctions on three investor contacts on account of interfering with client assets. In the case of Pracha Junake: Following a complaint
violating the SEC Notification No. SorKhor. 15/2548 Regarding the Approval of Investor Contacts and Standards of Conduct Dated 21 June 2005 and imposed a three-month suspension on another investor contact by
Bangkok, November 20, 2012 - The SEC revoked approval of three investment consultants, namely (1) {A} of Sicco Securities PLC, (2) {B}, then an employee of Asia Plus Securities PLC, and (3) {C}, then
Bangkok, June 8, 2012 ? In the meeting no.6/2012 on June 7, 2012, the SEC Board resolved to appoint three governors of the Stock Exchange of Thailand (SET) to replace those whose term ended. The SEC
Bangkok, December 23, 2013 - The SEC suspended three financial advisor supervisors, namely {A}, then an employee of {X1} Co., Ltd., {B} of {X1} Co, Ltd., and {C} of {X2} Plc. The suspension resulted
Investment and Giving Investment Advice dated January 18, 2012 (Notification No. TorLorThor. 3/2555). Accordingly, the SEC suspended {A} for three months from his duty as the approved capital investment