, 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
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
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
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
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
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
the details in written to the clients or provident fund committee, as the case may be, accompanying with the revealing of the information of investment and performance of private fund in accordance with
; (3) In case of private fund, such information shall be notified with the details in written to the clients or provident fund committee, as the case may be, accompanying with the revealing of the