(PLE)?s shares by using material non-public information. According to Mrs. Usavadee Srisuchart?s order, Mr. Perayuth Nark-In sent trading orders of PLE?s shares through others? accounts and assisted in

("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

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

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

or a failure to order or act according to the duties of Mr. Khophong. Bualuang Securities failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital

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

AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective

her holding of AMC securities for 10 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the notification of the Capital

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management