reference to analysis report.In the case of {A}, a client filed a complaint against her and the SEC's further investigation revealed that she had made decisions to purchase securities without the client's

{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients

Laddawan's and Orapin's for 0eight years each. In addition, {A}' s application for approval as investment consultant has been rejected, and the SEC will not accept her future applications for approval as

extensive experience in market and intermediaries supervisions, corporate governance, financial literacy promotion, public relations, stakeholder relations and administration. Her appointment as Assistant

executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr

KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr

inside information given to her by Miss Jeeraporn Buranaruk, who was assistant auditor holding the senior manager position of another audit group. Mr. Warot and Miss Jeeranan jointly purchased securities

2018, Mrs. Kotchakorn sold PTG stocks by using such inside information through her securities trading accounts. 11/11/2025 22/08/2024 filed a lawsuit to a civil court03/08/2023 referred

branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct. Prapai’s act was deemed a

cannot gain hig her market shares. ท่ีตั้ง 55/2 หมู ่8 ถ. เศรษฐกิจ 1 ต.คลองมะเด่ือ อ.กระทุ่มแบน จ.สมุทรสาคร 74110 Tel. (66) 0-34877485 - 8 Fax. (66) 0-34877491 – 2 3 / 4 55/2 Moo 8 Sethakit 1 Rd