{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients
characteristics of director and executive at any issuing or listed company for a period up to 3 years to be specified by the SEC.In case of Ornsiri, her assistance to Assavin?s insider trading was an offence under
Laddawan's and Orapin's for 0eight years each. In addition, {A}' s application for approval as investment consultant has been rejected, and the SEC will not accept her future applications for approval as
extensive experience in market and intermediaries supervisions, corporate governance, financial literacy promotion, public relations, stakeholder relations and administration. Her appointment as Assistant
Criminal Court ruled against her for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 83 of the Penal Code. The Court inflicted the punishment of 1-year imprisonment and
executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr. Krittiphat, Mr. Sunchai , Mr. Teerasit and Mr
KC Board of Directors, assisted in executing certain financial transactions through her own bank account, and (3) Mr. Veerawat Sukwara, who also knew and persuaded several persons – namely, Mr
a way to take advantage of other persons. In addition, Miss Malita assisted or facilitated for Mr. Sarath by allowing him to use her securities trading account and involving in financial
inside information given to her by Miss Jeeraporn Buranaruk, who was assistant auditor holding the senior manager position of another audit group. Mr. Warot and Miss Jeeranan jointly purchased securities