check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The

{A} for executing their trading orders.{A} later resigned from Globlex to work for KTB where she made trading orders in the derivatives accounts of several clients who had given her their usernames and

Mr. Yanyong Intarasongkarw Mr. Yanyong Intarasongkarw joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of

Mr. Ekkavit Kamontaypa Mr. Ekkavit Kamontaypa joined or agreed with other offenders in manipulating 6 securities by separating duties to executing buying or selling orders in a way of concealing

Mr. Siwasit Sainumphung Mr. Siwasit Sainumphung joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

Mrs. Woranan Lertkultum Mrs. Woranan Lertkultum joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

Mr. Panurak Saengaram Mr. Panurak Saengaram joined or agreed with other offenders in manipulating 6 securities by separating duties to executing buying or selling orders in a way of concealing and

Mr. Suvit Pipatvilaikul Mr. Suvit Pipatvilaikul joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

Mr. Pisit Pipatvilaikul Mr. Pisit Pipatvilaikul joined or agreed with other offenders in manipulating 5 securities by separating duties to executing buying or selling orders in a way of concealing

of Covid-19 such as social distancing, hygienic mask wearing and implementing the screening protocols at building entrance. For further information and inquiries, please call SEC Help