. And Miss Inthira Chuagsanit a cohabiting couple of Mr. Khanist has changed her securities holding. In this regard, Mr. Khanist has the duty to prepare and disclose reports regarding his and and his

customer since 2008. On April 24, 2011, {A} sent a letter that she accepted the trading decisions without the client's instructions. In addition, she had been authorized by her client to make securities

regard, Mrs. Wannee has the duty to prepare and disclose reports regarding her holding securities and the changes to such holdings (Form 59-2) include 185 changes, within (1) Year 2020, by 24 March 2020 (2

regard, Mrs. Wannee has the duty to prepare and disclose reports regarding her holding securities and the changes to such holdings (Form 59-2) include 184 changes, within (1) Year 2021, by 4 March 2021 (2

, 2012.  In this regard, the SEC suspended her from duty as an approved capital market investment consultant for a period of five months. Taking into account that she has already been suspended for two

Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment

capital market personnel for a period of three months and 22 days. In this regard, Asia Wealth has already suspended her from work for six months. As a result, the SEC's suspension is deemed to have been

regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and

, for failure to perform her duty in compliance with the company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that Ashiya, Onjira and Wasana

investment consultant of Krungsri Securities. In addition, the SEC suspended {D}, a former capital market investment consultant of Krungsri Securities, for failure to perform her duty in compliance with the