According to referral from the Stock Exchange of Thailand (SET) and SEC’s further investigation, it was found that during January - February 2017 Apichart Sukjirawat, Assistant Managing Director

., Ltd., (2) Ms. Ornpaphat Chantarasaka, (3) Lederer (Thailand) Co., Ltd., and (4) Ms. Kanyakorn Supakarnkachareon.Following referrals and the SEC's further inspection, it was found that Marnfah Group, by

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent

Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company

Bangkok , June 21, 2011 - The SEC has put Weerawat Sriwattana on probation for non- compliance with standards of conduct as a financial advisor supervisor for a company filing for the SEC?s approval

Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC

was an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client's complaint and inspection report of Globlex Securities Company Limited, the SEC further

an employee of Globlex Securities Company Limited while the misconduct occurred. Following the client?s complaint and inspection report of Globlex Securities Company Limited, the SEC further probed

filed by KKTRADE Securities Company Limited Ltd. The SEC probed into the case and found that {A} submitted securities trading orders from her brother's securities trading account. Over 11 months, the

invest in bills of exchange (B/E) of K.C. Property Public Company Limited (KC) which the former directors and executives of KC and others for jointly committing with dishonest intent by authorizing KC to