(UTCC), and a master’s degree in Business Administration (MIS), Saint Peter’s College, USA. Prior to this appointment, she was Director of the Intermediaries Policy Department

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

("EARTH"), Mrs. Thanaporn sold all EARTH shares she had, totaling 13.96 million shares on 31 May 2017. That is presumed under Section 244 of the Securities and Exchange Act that she knew or

make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

follows:   (1)  During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She

, Mrs. Sittasri Nakasiri holds the Bachelor’s Degree in Accounting from Thammasat University and the Master of Science from Saint Louis University, USA. She is also a certified financial analyst (CFA

University, and a master’s degree in management from Sasin Graduate School of Business Administration, Chulalongkorn University. She has been working for the SEC since 1996. Prior to this appointment, she

of Accountancy from Chulalongkorn University, Thailand and a Master of Business Administration from Western Michigan University, USA. She has a wide range of experiences on capital market, including

evidenced by large amount of related transactions. She then admitted that she took the client's trading orders via mobile phone.The aforesaid actions are in violation of Clause 20(3) of the Notification of

notification of the Capital Market Supervisory Board after she and her concert parties jointly disposed MILL shares held by their nominee on June 11, 2014 which caused her and her concert parties aggregate