percent thresholds of the total voting rights of the businesses, as the case may be, without complying with the required rules, conditions, and procedures. Specifically, Sunrise submitted the report of the

Company Limited (“PHS”). Being the person responsible for PHS’s operations, he failed to issue orders or omitted to perform his duties as required. This pertains to the case where PHS, in its capacity as

. His failure to perform the required duty of his position resulted in the offence committed by ERX concerning the case that ,on April 25, 2025, May 31, 2025 and June 28, 2025, ERX failed to comply with

for the operation of Merkle relating to customers' assets. Her failure to perform the required duty of her position resulted in the offence committed by Merkle concerning the case that, from March

., investment consultants 1 and listed companies 2 ______________________________ 1  In case https://www.sec.or.th/EN/Pages/AboutUs/SECPeople.aspx English (United States) SECDoc Solicitation or advice on

companies from accepting orders of purchase, transfer or exchange of securities that would result in Thai investors gaining more possessions of NVDR unless in the case where the rights arise from holding NVDR

information on creditworthiness including procedures, key consideration factors used for risk evaluation of issuers and their action guidelines in case of  bond default;           (3) To disclose key

Committee also monitors and assesses market situations, especially with regard to debt securities products with high sensitivity as well as proposes short-term and long-term solutions for issuers on a case-by

Section 83 and Section 86 of the Criminal Code, as the case may be. Therefore, SEC has filed a criminal complaint against the said persons for ECSD to consider further legal action. Concurrently, SEC has

personnel for a period of five years, starting from 4 August 2020.In case of deciding to buy an investment product at a place which is not the service provider’s office, investors are advised to avoid