suspending {A}, an employee of Kiatnakin Securities Co., Ltd. and {B}, an employee of Phara Securities Plc. and also revealing {C}'s inappropriate behavior. The SEC found from its routine inspection that {A
, the first and third quarters of 2013, and the year 2013 in order to avoid revealing the details of his related persons who entered into share trading transactions with RAM during 2012-2013. The public
employee of Ausiris Futures Co., Ltd. {A} and four employees of KGI Securities (Thailand) PLC {B}, {C}, {D}, and {E}, effectively from August 17, 2012, as well as revealing inappropriate actions of {F} and
of Audit Research Project, revealing the main reason why stakeholders or related parties have failed to see the value of audit is because they do not fully understand the roles and responsibilities of
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
revealing or informing material information likely to affect investor?s interests was in violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC
including additional announcement and according to the announcement of the Stock Exchange of Thailand regarding the revealing of operating data of listed company in connected transaction B.E.2546 including
comprehension of foreign participants in the SEC’s rules and regulations and shall not in any event be construed or interpreted as having effect in substitution for or supplementary to the Thai version thereof
criteria of making connected transaction including additional announcement and according to the announcement of the Stock Exchange of Thailand regarding the revealing of operating data of listed company in
transaction including additional announcement and according to the announcement of the Stock Exchange of Thailand regarding the revealing of operating data of registered company in connected transaction B.E