were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account. 20/04/2021 agreed to comply with civil penalties determined by

Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account. 01/06/2021 agreed to comply with civil penalties determined by the Civil Penalty

were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account. 01/06/2021 agreed to comply with civil penalties determined by

were wife and daughter of Nam, sold KIAT shares to make profits as well as Kiatichai who sold the shares kept in a nominee’s account. 04/06/2021 agreed to comply with civil penalties determined by

derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any

to customers and derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However

to customers and derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However

matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept

matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept

check the transaction before executing it for the client. Additionally, the evidentiary documentation of such transaction must be kept ready for retrieval upon the SEC’s request for inspection; (2) The