the SEC Office according to the methods and procedures prescribed in the Licensing Manual for the Public. We have studied, acknowledged and understood the Personal Data Protection Policy for internal

According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

some clients. All the said clients acknowledged trading transactions without any objection. Besides, Napat received several trading orders from the persons not the owner of the securities trading

clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged

orders were sent through over the internet and under her securities trader ID while the client acknowledged and did not reject the transactions. {A} admitted that she was the one submitting all trading

Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj, as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the

supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out

Mr. Suthep Akkawuttikrai Mr. Suthep Akkawuttikrai, as an executive responsible for the operation of Picnic Corporation PLC (PICNI), failed to supervise the company to prepare and submit the financial

Mr. Somchit Bosereewong Mr. Somchit Bosereewong, as managing director responsible for the operation of Singha Paratech Public Company Limited (SINGHA), failed to supervise SINGHA to prepare and

Mr.Bho Boonsiri Mr. Bho Boonsiri, as managing director responsible for the operation of Datamat PLC (DTM), failed to supervise DTM to prepare and submit the financial statements for the six-month