avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The said misconduct was in violation of Section 312 of the SEA. The SEC therefore
misconduct of which he had previously committed. He admitted receiving the client's trading orders through LINE Application and mobile phone from time to time, after that he called the client to confirm the
Public Company Limited at the time of the wrongdoings, (6) Mr.Dome Promayorn, (7) Miss Surachanee Limatibul, (8) Mrs.Piyama Charindhorn, (9) Miss Nutjanan Siriruchiyothai, (10) Mr. Susitak
securities investment records and income statement. His wrongdoings were in violation of Clause 2 of Section 281/2 in conjunction with Sections 89/7, 307, 308, 311, 312, and 313 of the SEA. With his confession
business personnel for a period of seven years and six months, effective from 8 August 2020. In addition, SEC has found that this misconduct had been partially caused by Mrs. Prapai Songserm, the bank’s
therefore prohibited her from re-entering as capital market business personnel for a period of 10 years, effective from 15 July 2020. In addition, SEC has found that this misconduct had been partially
inaccurate and false preparation of such records. The misconduct of the executives and their associates above is liable to legal offences as follows: The persons in (1) and (2) are liable to failure to
consideration of complaints (information on executives and employees); 3. Information on the consideration of wrongdoings. ✓ ✓ ✓ ✓ ✓ ✓ 1. Seminars (information on guest lecturers); 2. Seminars (information on
หน้า ผู้ประกอบธุรกิจ สินทรัพย์ ดิจิทัล บุคลากรของผู้ประกอบธุรกิจ ตลาดรองและองค์กรที่เกี่ยวเนื่อง https://www.sec.or.th/TH/Pages/LawandRegulations/AuditorAccountsT.aspx Thai Market Misconduct วิชาชีพ การ
Misconduct inconsistent with the normal market condition. (Section 244/4) 1. Purchasing or selling securities in such a way that does not involve a change of beneficial ownership of such securities; 2