COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the

Limited (“SUPER”) shares because he did not report the shares that hold by his nominee, Miss Panissara Tiangtham caused his aggregate holding of SUPER shares reached or passed five percent of the total

Mr.Khampol Viratepsuporn Mr. Khampol Viratepsuporn failed to report to the SEC Office the acquisition or disposal of News Network Corporation Public Company Limited (NEWS) shares held by his nominee

Mr. Porameth Rungrongtanin Mr. Porameth Rungrongtanin as a nominee of Mr. Sathit Roongwatanapak filed reports (Form 246-2) to the SEC Office the acquisition or disposal of Asset Bright Public Company

Mr. Krirkrai Tribunyatkul On October 17, 2016 and May 3, 2017 Mr. Krirkrai Tribunyatkul as a nominee of Mr. Pete Bodharamik filed reports (Form 246-2) to the SEC Office the acquisition or disposal

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

from a person being neither account owner nor account owner's appointee. In addition, he had provided a client's trading information to another client, as well as frequently failed to keep records of his

Mr. Suvit Pipatvilaikul Mr. Suvit Pipatvilaikul failed to report to the SEC Office the acquisition or disposal of News Network Corporation Public Company Limited (NEWS) shares held by his nominee

Mr. Suvit Pipatvilaikul Mr. Suvit Pipatvilaikul failed to report to the SEC Office the acquisition or disposal of Polaris Capital Public Company Limited (POLAR) shares held by his nominee within the

Mr. Khampol Viratepsuporn Mr. Khampol Viratepsuporn failed to report to the SEC Office the acquisition or disposal of Polaris Capital Public Company Limited (POLAR) shares held by his nominee