Management Name : Mrs ANGKANA PANYAOPART | Type of securities : Common share | Methods of Acquisition / Disposition : Sell | Transaction Date : 23/08/2016

Management Name : Mr ANDREW BENJAMIN WALZ | Type of securities : Common share | Methods of Acquisition / Disposition : Transfer | Transaction Date : 21/03/2017

According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1

Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019

The Civil Sanction Committee decided to impose a civil sanction on Mr. Suphanan Rittiphairoj, IFEC director and executive at the time of the offense, in the case where he had used inside

Bangkok, May 7, 2014 - The SEC revoked an approval of {A}, an investment consultant of Bualuang Securities Plc. for two years on account of trading derivatives through client's account for his own

Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

Bangkok, March 13, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Yongyuth Ngamkaiwan and Vorapin Ngamkaiwan for using inside information to sell

Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a

Earlier, the Civil Sanction Committee resolved to impose civil sanctions on Mr. Thanawat, who was IFEC director and executive at the time of the offence. He was ordered to pay a civil fine and