Mr. Praphol Milindachinla During 4 - 22 December 2014, 13 persons colluded to manipulate the price of KIAT share to be inconsistent with the normal market condition, causing the price of KIAT share

investment consultants above was deemed failure to perform duties with responsibility and deliberation as a professional in accordance with the Notification of the Capital Market Supervisory Board.* SEC has

application by Miss Suntaree for approval to act as capital market business personnel will not be accepted***.In determining the aforementioned period, the SEC took into account several factors, including

. Reviewed by taking into account comments and recommendations of the business operators received from the previous public hearing, the draft rules include rectification period, restriction of business

”) shares held in her and other 4 people’s securities account to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when her aggregated holding of TCC

account which caused his aggregate holding of ABC shares reached or passed five percent of the total number of voting rights of ABC. He failed to report to the SEC Office the acquisition or disposal shares

Mr. Pete Bodharamik On February 20, 2015. Mr. Pete Bodharamik acquires 4,400,000 JAS shares in Mrs. Saowanit Thanomsuwan’s securities trading account (nominee)which causes him to make a tender

held in his securities account and private funds of 6 people to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of TIGER

Mr. Chris Lum Mr. Chris Lum colluded with other alleged offenders in operating securities and derivatives businesses with an intent to solicit any attendee investors to open trading account for

trading account for securities, derivatives and other kinds of financial instruments with Saxo Capital Market Pte.,Ltd. by advertising, soliciting and using website www.home.saxo/en-sg or