Bangkok, September 19, 2011- The SEC proposed amendment to the Securities and Exchange Act B.E. 2535 (SEA) regarding provisions against unfair securities trading practices and supporting capital

Bangkok, March 3, 2014 - The SEC suspended {A}, a capital market investment consultant of KKTRADE Securities Company Limited, for trading securities on behalf of client.Following a sanction report

trading orders made in the trading room, a violation of Clauses 20(3) of the Notification of the Capital Market Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operator to

derivatives trading decisions on behalf of client is in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re: Approval for Personnel of Business Operators

Securities Plc., for trading securities on behalf of clients.From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC probed into {A}'s case and found certain communication record

Bangkok, March 31, 2014 - The SEC suspended {A}, a previous capital market investment consultant of DBS Vickers Securities (Thailand) Company Ltd., for trading securities on behalf of

Bangkok, February 5, 2014 - The SEC suspended {A}, a capital market investment consultant for trading securities on behalf of client while working for Kasikorn Securities Plc.Following a report from

Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of

a private placement. In this regard, SCG would make a partial offer of GLOBAL shares, which was expected to increase business strength for GLOBAL. The aforementioned agreement was publicly disclosed

trading decisions on the client?s behalf with internet trading username and password for trading from September 13, 2011 until the end of December 2011, causing losses in the client?s account of