' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

, she was earlier imposed a criminal fine on 20 August 2012 (details in SEC News No. 83/2012).

and continuing, which caused the trading of such securities contradicted normal market conditions in order to persuade other investors to buy or sell such securities. That is, she acted as follows

Mrs. Thanyakamol Tritrakarn While Mrs. Thanyakamol Tritrakarn was a director of Energy Earth Public Compay Limited ("EARTH"), she was presumed under Section 243 of the Securities and

"), Mr. Piriya sold amost all of his EARTH shares he had, totaling 9.2 million shares on 16 May 2017. That is presumed under Section 244 of the Securities and Exchange Act that she knew or possessed

been disclosed to the public and she has access by virtue of her office or position. Mrs. Supritha sends orders to buy 7,940,100 shares of PTL in Polyplex (Asia) Pte. Ltd. (“PAPL”)’s securities trading

Chunhajinda who was an executive of PHOL and a PHOL’s subsidiary called PHOL Water Company Limited. Subsequently, on 26 December 2016, she sold PHOL-W1 prior to the disclosure of such inside information to the

Chunhajinda who was an executive of PHOL and a PHOL’s subsidiary called PHOL Water Company Limited. Subsequently, during 16 December 2016 to 22 February 2017, she sold ordinary shares of PHOL prior to the

to 13 January 2017, she sold ordinary shares of PHOL prior to the disclosure of such inside information to the public on 28 February 2017. 23/07/2021 agreed to comply with civil penalties