Mr.Pongsak Lothongkam On December 7,2017 Mr.Pongsak Lothongkam acquired of SVI Public Company Limited (SVI) shares held by Eagle Mount Asia Equities Limited which caused his aggregate holding of

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

Mr.Pongsak Lothongkam On December, 2017. Mr.Pongsak Lothongkam acquires SVI Public Company Limited (SVI) shares in Eagle Mount Asia Equities Limited’s securities trading account (nominee) , causing

;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

Eagle Mount Asia Equities Limited’s securities trading account to purchase 23,951,000 of SVI shares in such a way as to take advantage of other persons before SVI disclosed the inside information to the

Eagle Mount Asia Equities Limited’s securities trading account to purchase 23,951,000 of SVI shares in such a way as to take advantage of other persons before SVI disclosed the inside information to the

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the