punishment of those found to be in violation of the Securities and Exchange Act, the SEC said it has made good progress in examining many complaints. Investigations are on-going and more time is needed to

Bangkok, December 19, 2006 ? In reference to the trading plunge on the Stock Exchange today, the SEC is urging foreign investors to pay close attention to all facts before making careful and well

Maris, as well as additional fines of 1,925,875 baht (approx. USD57,810) on ING Funds, and 421,650 baht (approx. USD12,650) on Siam City Bank Public Company Limited, the TU-PF fund supervisor which failed

violation of the rules. The SEC therefore suspended them from duty as approved investment consultants for one month. The aforesaid misconduct is in violation of Clause 20(3) of the Notification of Capital

found that the aforesaid investment consultants proceeded with the redemption of long-term equity fund (LTF) units for clients in breach of the conditions for receiving tax benefits despite warnings

recorded such behavior for future reference if breach of duty is found.  The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

: Approval for Personnel of Business Operator to Perform Duty of Investment Analysis and Investment Consultant dated January 18, 2012 as well as has prohibited characteristics under Clause 6(3) of the

had not been sufficient.   This caused the client about 3,000,000 Baht in damage.  In this regard, the aforesaid actions are in violation of Clause 20(1) and (2) of the Notification of Capital Market

securities trading as well as amount of securities and prices, all of which were acknowledged by the client's authorized person. Making securities trading decisions on behalf of client is in violation of

orders as well as incompletely prepared such documents as determined by the company.  Thus, the SEC publicly disclosed her inappropriate behavior and recorded such behavior for future reference if breach