Microsoft Word - form246-2_24 Nov 2020_PP Ordinary Shares)_PP 1 Report of the Acquisition or Disposition of Securities (Form 246-2) 1. The business’ name: T.KRUNGTHAI INDUSTRIES PUBLIC CO.,LTD
Bangkok, 9 February 2018 ? The SEC has revoked the approval for a securities investment consultant by the name of Mr. Sakkarin Uttakrit for 10 years on account of committing undue acts toward clients
Bangkok, 31 January 2019 - The SEC has suspended approval for {A} as a securities investment consultant for one month on the ground of giving information or investment advice incompletely or
follows: (1) During February – March 2017, Nutnicha solicited a client to buy IPO shares of a company, claiming that she had the right to buy such shares as an employee of Apple Wealth Securities. She
transactions must be transferred into the securities account of the responsible securites company only, and that accepting a deposit of shares from any investment consultant into investors? own trading accounts
loss. Moreover, {A} advised the client to wait for a quota of IPO shares and expect such shares to compensate for the loss incurred in the client’s derivatives trading account. {A}’s behaviors above were
Bangkok, October 2, 2014 - The SEC suspended {A}, a capital market investment consultant of Globlex Securities Company Limited, for trading on a securities trading account of the client without
trading while the client did not reject the transactions. Besides, intra-day trading orders of a listed company's shares were found where the buying prices were higher than the selling ones, causing the
Bangkok, 29 January 2019 - The SEC has suspended approval for {A} as a capital market investment consultant for a period of three months and 22 days on the ground that she accepted an investor's