Bill Trade Co.,Ltd. Between 10 February and 23 April 2003, Bill Trade Co.,Ltd. with other alleged persons operated securities brokerage businesses, soliciting clients to invest in securities listed
Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
Mrs. Pimpa Chivapornthip Between April 2, 2007 and October 9, 2007, Mrs. Pimpa Chivapornthip colluded or agreed with Mr. Nophadol Arayakul to trade securities of Salee Industry Public Company Limited
Mr. Nophadol Arayakul Between April 2, 2007 and October 9, 2007, Mr. Nophadol Arayakul colluded or agreed with Mrs. Pimpa Chivapornthip to trade securities of Salee Industry Public Company Limited
Mr. KAMOL IEOSIVIKUL Between August 22, 2008 and February 27, 2009, Mr. Kamol Ieosivikul colluded or agreed with another person to trade securities of Subsrithai Storage Public Company Limited (SST
Mr. Sermkiat Kangsathein Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Sermkiat Kangsathein colluded or agreed with other persons by using his and others’ trading accounts to trade
Mr. Wichian Ursiripant Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Wichian Ursiripant colluded or agreed with other persons by using his and others’ trading accounts to trade
Mr. Pratheep Wongkulnit Between 11.53.47 A.M. to 12.06.37 P.M. on October 3, 2012, Mr. Pratheep Wongkulnit colluded or agreed with other persons by using his and others’ trading accounts to trade