be guided by the following five fundamental ethical and professional principles: 1. Integrity 2. Objectivity 3. Professional Competence and Due Care 4. Confidentiality 5. Professional Behaviour Some

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

Mrs. Chatkaew Gajaseni During September 3, 2018 - November 29, 2018, Mrs. Chatkaew Gajaseni, a director and executive director of PTG Energy Public Company Limited (PTG) changed her holding of PTG

("TRUBB") changed his holding of TRUBB securities for 20 times but failed to prepare and disclose all reports on changes in his holding to the SEC Office within the period specified in the

Engineering and Construction Public Company Limited (STEC) changed his holding of STEC securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period

Limited ("TRUBB") changed her holding of TRUBB securities for 3 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the

Mrs. Phenchan Yongvongphaiboon Between July 14, 2017 and September 4, 2017, Mrs. Phenchan Yongvongphaiboon, director and vice managing president of Asia Metal Public Limited Company (?AMC?) changed

concealment to mislead the public to believe that such shares were traded in great volume or that such share price was changed, causing the trading of such shares to be inconsistent with the normal market

Mrs. Chantip Vanich Between December 27, 2017 and August 24, 2018, Mrs. Chantip Vanich, a director of Univanich Palm Oil Public Company Limited (UVAN) changed her holding of UVAN securities but

report of the net capital to the office of Securities and Exchange Commission of AEC Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to