Bangkok, August 22, 2006 ? The Settlement Committee appointed by the Minister of Finance under Section 317 of the Securities and Exchange Act B.E. 2535 (1992) has imposed serious penalty fines on six securities companies on account of failing to submit evidence of securities trading orders in the form of recorded tapes of phone conversations with their clients. Pursuant to the SEC Notification prescribing the conditions and procedures for securities companies in operating securities brokerag...

Officers in the Securities Trading System dated 4 February 2000. The punished investor contacts ? Wanida Soythong, Marisa Phaekwamdee, Arveekorn Ueajaratphan, Choochart Thongjuerpong, Prapatsorn

account owner's knowledge to prevent potential damage. Recently, the SEC has punished offenders who caused damage to investors in several cases. In any event that an investor truly wishes to have a person

.  Previously, he was warned by the SEC and punished by Bualuang Securities Plc. as he failed to record his advice and clients' securities trading orders in the same year for three occasions. However, he kept

investment consultant for three months. Since he has already been subject to a three-month suspension imposed by his employer, the SEC considered that he has already been punished by the SEC ' s order. For {E

action against or being punished in the past according to the management in the manner of deception, defraud or dishonest to properties as prescribed in Clause 25; (3) prohibited characteristic of Group 3

respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under the

proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished appropriately. The provision under Paragraph 1 shall not be applicable to the case

persons in accordance with their respective regulations, the SEC Office may not proceed in accordance with Clause 24 on such persons if the SEC Office deems that such persons have already been punished

if the SEC Office deems that such persons have already been punished appropriately. The provision under the first paragraph shall not be applicable to the case that Stock Exchange or the derivatives