(company) (* The registration statement shall be signed either by a CIS Operator or an authorised person of the CIS Operator. The person who signs shall state his/her full name and capacity and shall ensure

through the use of client accounts; while {D} was found using a client account to trade securities for her own benefits. In particular, their actions had been aided and abetted by {E} , who then was the

committed the misconducts while working at Globlex Securities Co., Ltd. and later at KTB Securities (Thailand) Co., Ltd.  Following the inspection reports of Globlex and KTB and her clients? complaints, the

persuaded other persons to do the same, and (3) Mrs. Panadda Soontornsaratul assisted Chanthani?s insider trading by allowing her to use her trading account for the purpose.Following a referral from the Stock

Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

M.L. Apisada Chayangkura (formerly M.L. Phatarawadee) M.L. Apisada Chayangkura (formerly M.L. Phatarawadee), former director of SECC Holding Co., Ltd. (SECC Holding), failed to perform her duties as

”) shares to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board after her had acquired BTNC shares so that the acquisition or disposal of such shares caused

Ms. Nongnuch Saklong Ms. Nongnuch Saklong, an authorized director of TAB Trading Company Limited, was responsible for the company's operations. Her failure to perform the required duty of her

Mrs. Nuntip Soisri Mrs. Nuntip Soisri is an authorized director of SAI BURAPHA Company Limited, was responsible for the company's operations. Her failure to perform the required duty of her

for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the