from a client?s account, which was deemed a breach of duty. She was also found to have acted in such a way that indicated dishonesty to the bank. In this regard, Sarinrat was deemed having prohibited

on Nattawut Kijprasert of Adkinson Securities Plc. The misconducts involved and sanctions are as follows:In the case of Tippawan: Pursuant to investors? complaint and I V Global Securities Plc.?s

Bangkok, June 23, 2011 ? The SEC has suspended two investor contacts Meaunchit Limpodom of Siam City Securities Co., Ltd., and Kruawan Rittiwong of United Securities Plc., for six months and one year

found to have made trading decisions for one of his clients without any evidence of the client?s orders or his giving of investment advice. Similarly, Weeraparn was found to have made decisions to send

Bangkok, August 5, 2009 ? The SEC imposed sanctions on two investor contacts for non-compliance with professional standards of conduct. In the case of Pimon Raksurong, former marketing officer of

suspended {A} from duty as an approved capital market investment consultant for a period of one year.In case of {B}, the SEC received a report from a securities company that she failed to record her two

Bangkok, August 4, 2011 ? In the meeting no. 8/2011 on August 4, the SEC Board resolved to appoint two governors of the Stock Exchange of Thailand (SET) to replace those whose term has ended.  The

clients' assets.  In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the

consultant for four years and eight months. They were the employees of KTB Securities (Thailand) Co., Ltd., while the misconduct occurred. The SEC learned of Panadda case from a complaint filed against her and

revenues in the ledger and used such numbers in the company?s financial statements for Q2, Q3 and 2004. Consequently, PICNI?s financial statements in 2004 showed irregular profits of 178,440,072 baht, which