Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of  Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities

collaboration in preventing securities trading violations under the Securities and Exchange Act and the Anti-money Laundering Act. This agreement aims to support effective law enforcement capabilities and

of COL at a price higher than the market price at the time, which would create a positive impact on the share price of COL. After knowing such inside information, Worawoot and Patcharapat bought COL

related to the tender offer of NOBLE shares at 12.25 baht per share, which was higher than the market price. As director and executive of the company at the time, Kitti disclosed such insider information to

derivatives trading activities after having accessed the EY information system which contained clients’ audited, but yet to be disclosed, draft financial statements under responsibility of the audit group under

Bangkok, June 8, 2012 - The SEC publicly disclosed inappropriate behavior of three investment consultants, namely, {A}, {B}, and {C}, for not taping clients' securities and derivatives trading orders

trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by

Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of

securities. Otherwise, the SEC will strictly pursue legal action against such wrongdoing as insider trading deteriorates investors? trust as well as confidence in the capital market.?

trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of