In addition, SEC shall not accept her future application for approval as capital market business personnel until the revocation period ends. At the time of her misconduct, Sunisa was working for
to buy securities for her friend, who was in the process of opening a securities trading account, through assistance of one of her clients. After the trading account was opened, her friend asked for
, effective from December 4, 2012.Following an investor complaint against {A}, the SEC probed into the case and found that she had been authorized by her client to make trading decisions on the client's behalf
Following a TMB report on clients’ complaints and SEC’s further investigation, it was found that during 27 July 2015 – 5 June 2017 Nuchanart (1) withdrew money from her clients’ bank accounts
Ms. Lalana Sirijanyakul During April 10, 2007 to May 15, 2007, Ms. Lalana Sirijanyakul failed to report on her acquistion or disposal of shares of Traffic Corner Holdings Plc. (TRAF)(Presently M
Mrs. Chamaiporn Yongvongphaiboon On November 9, 2016 Mrs. Chamaiporn Yongvongpaiboon acquired of Permsin Steel Works Public Company Limited (PERM) shares held by her nominees which caused her
Miss Kanokpailin Wilaikaew May 18, 2020. Miss Kanokpailin Wilaikaew a Chief Financial officer of Origin Property Public Company Limited has changed her securities holding. In this regard, Miss
Miss Suttirat Leeswadtrakul Miss Suttirat Leeswadtrakul, Director of Millcon Steel Public Company Limited [“MILL”] has changed her securities holding. In this regard, Miss Suttirat has the duty to
Ms. Wanliya Kanjanapongkit Ms. Wanliya Kanjanapongkit, an authorized director of KACHAVET Company Limited, was responsible for the company's operations. Her failure to perform the required duty