Administrative Orders
Under the Securities And Exchange Act B.E.2535 (1992) and the Derivatives Act B.E.2546 (2003)

No.
Name of the Person Subject to the Administrative Order
Type of Personnel
Press Release
Summarized Facts
Administrative Orders
Effective Date

1

Mr. PHISIST PHONGPHEUK formerly (Mr PHISIST PHONGPHEUK)

Investment Consultant on Securities

SEC News 99/2017

Performing duties dishonestly on account of deceiving several clients, falsifying ducuments, spending clients' money for his own interest, and using clients' trading accounts to trade securities for himself.

Revocation

From 21/10/2017 to 21/10/2027

2

Mr. SITTIGUN PINMATHA formerly (Mr SITTIGUN PINMATHA)

Investment Consultant Derivatives

SEC News 108/2017

1. solicited a clients to invest inderivatives products by guaranteeing returns. 2. concealed facts from the client regarding the trading transactions and the accounting status of the client after incurrence of investment loss.

Suspension

From 31/10/2017 to 30/10/2018

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