. ____________________________Remarks: * By virtue of Section 58(1), the SEC imposed orders of clarification and disclosure on EARTH, as published in the following news releases: 1. SEC News No. 22/2561: SEC instructs EARTH to
professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions: (1) {D
Earlier, the Civil Sanction Committee decided to impose civil sanctions on Mr. Surin Banyongponglert in the case where he had sent trading orders of PICO shares in the manner of price manipulation
}, it was found that she had signed on unit purchase orders without communicating or giving advice to the client for whom {B} had given information and advice. {C} was working at the branch where {B} was
during 1 April 2016 - 4 May 2016. In so doing, (6) Mrs. Supritha Pai Kasturi, Senior Manager of PTL Finance and Accounting Department, helped to execute the PTL purchase orders before the inside
campaigns, was also concentrated in the accounts of those private fund clients. On the first trading day of TIGER shares on the mai (24 October 2018), Wichu began sending trading orders of TIGER shares, using
against Wichai for his fraudulent acts by misappropriating company assets and converting them to himself and other persons. He committed it by falsifying documents for securities purchasing orders to
use the money for working capital. When the BF and ASC cheques were nearly due, they made false entries that TUCC made purchase orders of black steel from eight suppliers totaling 529,529,326 baht to
shares from {D} and kept them in an account of {C}'s client. When PAO shares resumed trading on-exchange, {C} placed the orders to unload all PAO shares in the account. {H}, however, continued advising her
. 2561 (“ประกาศที่ สจ. 38/2561”) The following instructions for filling out Form 59 are provided for general understanding. Reporters on changes of securities and derivatives holding are advised to consult