Miss Yeap Xin RHU Miss Yeap Xin RHU, a Chief Financial Officer (“CFO”) of AAPICO Hitech Public Company Limited (“AH”), has been in a common-law relationship with Mr.Viroj Patcharawattanaku since

President and Chief Executive Officer of Bangkok First Investment & Trust Public Company Limited (BFIT), solicited the other person to purchase BSEC shares between December 23, 2010 and January 6, 2011

information provided in Form 247-4. SEC Act S.300 Settlement Committee Meeting No. 9/2017 Settlement Committee Order No. 78/2017 Dated 18/10/2017

Mr Sitthiphat Sinfaphanit Mr. Sitthipat, in his capacity as the person responsible for supervising the operations of Beyond Securities Co., Ltd. (“Beyond Securities”), as the financial advisor for

or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer

Mr. Cholnatee Sopak Mr. Cholnatee Sopak, at the time of the incident serving as Assistant Managing Director of the Bondholders’ Representative Division and the person responsible for overseeing the

juristic person in which Mr. Buntoeng held more than 30 percent of the shares, during July 2, 2021 to April 3, 2023. In this regard, Mr. Buntoeng has the duty to prepare and disclose a report regarding his

damage. Having considered the said fact, the jail term was therefore suspended for three years under Section 56 of the Penal Code.  In addition, the Court revoked the freeze order against Wichai?s assets

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

order within the specified period. Moreover, despite being warned by the Competent Officer, they provided only partial, incomplete information and showed a delaying behavior in not providing the requested