provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for

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

concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of

Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that

, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that stimulated

Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of such share in such a manner that

Saravutwattanakorn joined with Miss Phichayada Phichayarom, an investment consultant of a brokerage firm, in manipulating Tapaco Public Company Limited ("TAPAC") share price by executing trading orders of

Mr. Pattarapob Ittisanyakorn On March 11, 2015, Mr. Pattarapob Ittisanyakorn acquired shares of K.C. Property Public Company Limited (KC) equal to 47.57 % of the total voting rights of KC As a

acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover. The SEC’s further investigation after a tip-off has revealed that NEWS, POLAR and

their separate acquisitions of Nation Multimedia Group Public Company Limited (NMG) shares to achieve the mutual goal of business takeover. The SEC’s further investigation after a tip-off has