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

Miss SUPARAT NISSAPHA

Fundamental Guide / Investment Planner

SEC News 10/2018

signing on a unit subscription order of a client without contacting or giving advice to the client

Suspension

From 01/02/2018 to 31/03/2018

2

Mr. SAKKARIN UTTAKRIT formerly (Mr SAKKARIN UTTAKRIT)

Investment Consultant on Securities

SEC News 14/2018

Account of committing undue acts toward clients' assets and using a client's trading account to trade securities for his own interest.

Revocation

From 10/02/2018 to 09/02/2028

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