inappropriate behavior of {B}, an investment consultant of another securities company. Following a customer complaint against {A}, the SEC probed into the case and found that she had sold four securities of the

Miss Keswarang Sawatdipan Miss Keswarang Sawatdipan dishonestly deceived the investors by asserting false statements to make invetors believe that she was licensed to operate a derivatives business

aggregate holding of PERM shares reached or passed five percent of the total number of voting rights of PERM but she failed to reported these acquisition to the SEC Office within the period specified in the

(UTCC), and a master’s degree in Business Administration (MIS), Saint Peter’s College, USA. Prior to this appointment, she was Director of the Intermediaries Policy Department

trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received

("EARTH"), Mrs. Thanaporn sold all EARTH shares she had, totaling 13.96 million shares on 31 May 2017. That is presumed under Section 244 of the Securities and Exchange Act that she knew or

make securities trading decisions on behalf of the clients on a continual basis, for a high volume of trading transactions. In addition, the communications records indicated that she had taken trading

follows:   (1)  During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She

, Mrs. Sittasri Nakasiri holds the Bachelor’s Degree in Accounting from Thammasat University and the Master of Science from Saint Louis University, USA. She is also a certified financial analyst (CFA

University, and a master’s degree in management from Sasin Graduate School of Business Administration, Chulalongkorn University. She has been working for the SEC since 1996. Prior to this appointment, she