another person's trading account and arranging financial matter for such investor. As the employer has already put her on a three-month suspension, the SEC is suspending her for the remaining three months
Assurance Public Company Limited (BLA), sold 800,000 shares of BLA through his the securities trading account and then during July 25, 2014 - August 1 2014, Mr. Choedchu Sophonpanich, director and proxy for
Company Limited ("TOG"), purchased TOG shares through Miss Malita Limlomwongse's securities trading account. In the purchase of TOG shares, he utilized the inside information accessed by the
Pathomrungsiyunggul’s securities trading account to puschased 1,286,700 of UVAN shares in such a way as to take advantage of other persons before UVAN disclosed the inside information to the public on 23 February 2018
increase of the net profit in the financial statements of 2017, by allowing Ms.Chantip to use her securities’ s trading account to purchased Univanich Palm Oil Public Company Limited (UVAN) shares in such a
client assets for personal gains by having his clients transferred payment for subscription of mutual fund investment units as well as their deposits into his own account. At the time of his wrongdoing
, 2016.In the case of Panita, she committed wrongful acts against clients? assets by using the client?s trading account to trade securities for her own personal gains or others? and making investment
complaint lodged by a client on {B}'s actions. The report indicated that {B} sent trading orders through client's account without evidence of trading orders from clients, which caused damages to the client
approve the appointments of : 1. Mrs. Natsarak Sarochanunjeen Certified Public Account Registration No.4563 2. Mr. Chaiyuth Angsuwithaya Certified Public Account Registration No.3885 3. Miss Jarunee Nuammae