Securities and Exchange Act B.E. 2535 (1992) in conjunction with Section 86 of the Penal Code, and therefore, imposed the fine of 600,000 baht on him. _________________ 

Securities and Exchange Act B.E. 2535 (1992) (SEA) had imposed a fine on Lalana in the amount of 36,815,524.26 baht for manipulative trading by colluding with others in providing and using other persons

Bangkok, September 14, 2011 - The SEC imposed administrative sanctions on two investor contacts, by suspending {A} for three months from September 14, 2011 and reprimanding {B}, for interfering with

her employer, however, the suspension imposed by the SEC is deemed to have been served.  

Bangkok, March 19, 2014 - The SEC revealed that the Settlement Committee imposed a fine of 500,000 baht on {A} for using inside information to purchase {X1} Company shares for his own benefit.With

already been suspended by her employer, however, the suspension imposed by the SEC is deemed to have been served.

September 30, 2014.Earlier, the SEC notified STHAI to rectify its 2012 financial statements due to the limitation on scope of audit imposed by the company management in various matters including quantities

suspended {A} for one-month from his duty as an approved capital market investment consultant. Taking into account that {A} had already been suspended by his employer for fifteen days, the suspension imposed

will be imposed if inappropriate behaviors of issuing companies such as concealment of information or cooking the books have been found.   The issuers covered under the proposed revision are non-listed

Bangkok, January 24, 2014 ? The SEC imposed a one-month suspension on Wiroj Thongburana, a securities investment consultant of UOB Kay Hian Securities (Thailand) Plc., for failing to inform