Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock

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

newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement

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

markets business to submit trading order and not an employee of Jitta Wealth Asset Mannagement Co.,Ltd, there may be a risk that person who are not under the company know about the information and use it

("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