securities companies. Additionally, there were reasons to believe that Surat asked the client who accepted the executed transaction for a share of profits generated thereby. In the case of Saranporn

such errors are identified; 2. Profits derived from error correction shall be credited to the funds while losses and expenses shall be paid for by error making asset management companies; 3

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. 05/04/2021 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. 19/04/2021 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. 19/04/2021 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. 20/04/2021 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. 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