Miss Chanthani Thanompongchat On April 11, 2014, Miss. Chanthani Thanompongchat purchased 120,000 ordinary shares of Rasa Property Development Public Company Limited (“RASA”), through the accounts of

Mr. Saiphet Thongngao Mr. Saiphet Thongngao colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The

Miss Sureerat Ardpaksa Miss Sureerat Ardpaksa colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The

Mr. Woraphol Muenbowon Mr. Woraphol Muenbowon colluded with other alleged offenders in managing funds for others for profits from derivatives investment in the ordinary course of business. The

nominee account, in such a way as to take advantage of other persons by using material non-public information concerning the interim dividend payment 2012 and warrants to purchase CMO ordinary shares to be

benefits and long-term return. Mr. Malpass received profits from providing investment advisory service in the ordinary course of business. Thus, Mr. Malpass operated securities business as investment advisor

Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a

procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4

sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the

("PHOL"), sold ordinary PHOL shares via his nominee's securities account, which led to the changes of such shares holding. He filed the report (Form 59-2) to the SEC Office on July 14, 2021