Kanjanopas) in trading shares of Karat Sanitaryware Plc. ("KARAT") through her own account by using inside information. Such information was obtained by Apichart while performing duty as a chief legal counsel

' trading orders via their mobile phones. In case of {C}, the SEC found that she did not record clients' trading orders completely, the SEC thus publicly disclosed her non-compliant performance and recorded

account long-term benefit to the company, providing that ESOP participants must have specified qualifications and be active agent when exercising his or her right to purchase securities under ESOP.  Besides

investment consultants above work for the KASIKORNBANK Public Company Limited (KBANK).In the cases of (1) and (2), {A} affixed her signature as the investment consultant for a person who was not her client

, the SEC filed the criminal complaint against her with the DSI for further criminal proceedings. In any case, filing a criminal complaint commences criminal justice administration whereby any person

suspended {A} from her duty as the approved securities investment consultant for one month, effective from June 27, 2014.

records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make

must be filed with the DSI.    Taking into account the safety of informer, a provision on anonymity of the informer is included in cases where such person prefers non-disclosure of his or her identity

other persons to trade shares of Union Mosaic Industry Public Company Limited (“UMI”) and to clear such transactions through her securities trading account on continual basis and in concealment to mislead

2022 to 23 December 2022 (3) Year 2023, from 4 January 2023 to 30 May 2023 and (4) Year 2024, by 26 March 2024 respectively, regarding Mrs. Wannee has made 184 changes to her securities holding (1 March