Sanction Miss Sirin Trakoolwong Buying or selling securities beyond clients? orders without authorization causing damages to such clients

charitable donation to the Thai Red Cross Society’s project to support the purchase of medical equipment and assisting patients with acute ischemic stroke, at the DBD Building on 16 January 2024.In the

securities of his client without authorization. His misconduct caused his client more than one million baht in damage. The interference with the client?s assets contravened the Standards of Conduct under

& Verify(A) SignFile & Verify(B) Authorization details (EF-3) : companyName systemName reportName effectiveDate

manager that she had obtained such authorization and decided to trade by the instruction of clients? appointee or by her own deliberation. For a long period of time, she continually made trading decisions

Company Registration Number Officer Name Officer Email Current Datetime Client Datetime SecSign File Version SignMessage & Verify SignFile & Verify(A) SignFile & Verify(B) Authorization details (EF-3

decisions for a client without authorization, sending trading orders from a client?s account to inflate securities prices and the credit line of another client who held the same securities, and intentionally

to trade securities in the client?s account on the client?s behalf without having to give prior notice. Despite the client?s cancellation of such authorization afterward, Pracha continued trading

contact and assigned to work for the company. Such trader later sent several trading orders in the client's account without authorization or contrary to the client's orders, causing damage to the client

person undertakes derivatives business without obtaining a proper authorization from the SEC in contravention of Section 16 of the Act shall be criminally liable under Section 125 of the Act to