of Section 243(1) in conjunction with Section 244 and Section 243(2) of the SEA, and Section 86 of the Penal Code. Consequently, she was fined at the amount of 333,333.33 baht.
she has already been suspended by Finansia Syrus Securities Plc. for six months, the banning of her application is thus remained nine months, starting from April 11, 2013.
1-22, 2010. She had submitted trading reports via electronic channels and mobile phone to the client who accepted the transactions. Such trading had resulted in a 73,400 baht loss for which {D} paid
? Equity and Infrastructure Department, Corporate Finance ? Debt and Other Products Department and Accounting Supervision Department. # # # # # # Nataya Niyamanusorn joined the SEC since 1992. She has
routine inspection of Kasikorn Securities Plc, the SEC found that {A} did not record a number of derivatives trading orders from a client. {A} admitted that she received the client's derivatives trading
. The SEC therefore reviewed Ms. Sulalit’s audit work performed for Renaissance FMC and found that she had seriously failed to comply with auditing standards. The deficiencies included: Failure
way of concealing 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
inside information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her
information about an increase of the net profit of PERM in the 1st quarter of 2016 and the 3rd quarter of 2016 by virtue of her position. Subsequently, she purchased PERM shares through her securities trading