Conduct for approved investor contacts. Each sanction runs for a period of one year, starting from November 21, 2006. Saranporn and Surat committed connected misconducts when the former allowed the

Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

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, 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

Bangkok, May 18, 2007 ? The SEC has revoked the approval for two investor contacts functioning as marketing officers ? Kritsana Sahavutipatra and Campirada Kiratikamolpatra ? on account of

: Unapproved public offering of digital token (Disclosure Date : 02/06/2020)

: Unlicensed securities and derivatives business (Disclosure Date : 12/03/2021)

: Unlicensed securities and derivatives business (Disclosure Date : 17/03/2021)

: Unlicensed digital asset business (Disclosure Date : 18/01/2023)