the investor contact. The interference with the client?s assets and the offering of false information to the client with the intention to deceive are dishonest doings and contravene the standards

Bangkok, July 31, 2006 ? The SEC has suspended Kusol Sithiwong from functioning as an approved investor contact (marketing officer) for a period of two years on account of buying and selling

investor contacts, securities companies and investors themselves of the negative effects of asset interference and strongly advising investor contacts against committing such misconduct; otherwise, the SEC

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

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

Bangkok, Aug 15, 2011 - The SEC suspends four investor contacts, namely, (1) {A} of Asia Plus Plc. for one month, from August 10, 2011 due to his interference with client's assets and reprimands

Bangkok, December 1, 2008 ? The SEC imposed administrative sanctions on four investor contacts, as follows:  1.Pongsa Charoensettasi (revocation): Following investor complaints and his employer

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, August 28, 2007 ? The SEC has revoked the approval for an investor contact functioning as a marketing officer by the name of Sutthasinee Sitti on account of misappropriating client assets

Bangkok, August 7, 2008 ? The SEC imposed administrative sanctions on two investor contacts for their misconducts in contravention of Clause 11(2) of the SEC Office Notification No. SorKhor. 15/2548