Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without

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 notification of the

account but failed to prepare and disclose report on change in her securities to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mr. Sasavat later

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

his securities account to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of SAIMAT shares reached or passed five

held in his securities account to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board when his aggregated holding of SAIMAT shares reached or passed

.   Regarding the share transfer case, Auracha, then an invesment consultant at AEC, was found transfering shares in the client's trading account into her mother's account for her own benefits. Such share

trading account into her mother?s account for her own benefits. Such share transfer was prearranged, starting from Auracha?s opening a trading account for her mother without declaring their relationship to

for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the

10 years on account of deceiving several clients, falsifying documents, spending clients? money for his own interest, and using clients? trading accounts to trade securities for himself.Following a