Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients

possession, nor did she return the borrowed money to the client as agreed.The misconduct of Nutnicha was failure to perform duties honestly by committing wrongful acts against clients’ assets, which was a

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

payment as ordered by the Settlement Committee.   {A}'s acts were deemed as using client trading accounts to trade securities for herself and being the accomplice in share price manipulation scheme, in

specified by the client. He then made payment to such client for his own securities trading.The aforesaid acts of {A} and {B} were deemed dishonest and unprofessional in violation of Clauses 20(1) and 20(2

. Her misconduct caused damages to the client in the total amount of 389,622.60 baht. Sareerat has fully paid compensation for the damages to the client. The SEC has considered that Sareerat’s acts

Supervisory Board and the Stock Exchange of Thailand, as prescribed by the regulations of the Stock Exchange of Thailand Re: Disclosure of Information and Other Acts of Listed Companies Concerning the

exchange licensed by the Securities and Exchange Commission to provide liquidity for trading of derivatives on such derivatives exchange. Clause 3 A derivatives broker who acts as market maker shall prepare

Thailand Re: Disclosure of Information and Other Acts or Listed Companies concerning the Acquisition and Disposal of Assets 8. Expectation: to receive engineering capability and know-how from experienced

Stock Exchange of Thailand Re: Disclosure of Information and Other Acts of Listed Companies Concerning the Acquisition and Disposition of Assets, 2004 (as amended), is less than 15 percent and the total