Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

Bangkok, October 8, 2014 ? The SEC suspended Atthapol Klabklan, a capital market investment consultant of Krungsri Securities PLC., for trading securities on behalf of client.  Following a report

Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions

(13) Mr.  Nattapon Chalermpot – all appeared to have relationships with one another – had engaged in trading activities of FVC stocks, exhibiting a pattern of trading in mutual awareness or agreement

manipulation and insider trading, AMLO will work closely with the SEC, which directly regulates these securities companies and provides AMLO with detailed information on such offenses. AMLO also receives

shares through the trading account of Patcharapat before COL disclosed such inside information to the  SET on 14 September 2020*.The actions of both individuals above in the manner of colluding in the

time of the incident was a major shareholder with more than 50% ownership and served as an advisor to SVI, was responsible for setting business strategies and attended important meetings of SVI. He was a

manager of UOB, knew in advance that UOB was preparing for the sale of the UOB8TF assets and prohibiting all employees from trading units of the fund. Taking advantage of the said fact, he used the

specific business of MODERN while attending the Board of Executive Directors meeting. Such inside information supported the prediction that the net profit of the second quarter of 2016 would drop