failing to have a sufficient and effective system for executing securities transactions for the mutual fund, resulted of an act or failure to act which is a dulty required to be performed. SEC Act S

Analysis :"MD&A" through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) MD&A for 2020 (2) MD&A MD&A for

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. On

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. On

report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to order or act in

financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to

operates by matching orders or arranging for the counterparty or providing the system or facilitating a person who wishes to trade or exchange digital assets to be able to enter into an agreement or match

deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned

public via the information system of the Stock Exchange of Thailand. This case is in the process of inquiry by the inquiry official. SEC Act S.281/10 Criminal Complaint Filed with an Inquiry Official

prepare and submit the audited financial statements for the year 2020 and the management discussion and analysis for the year 2020 through the transmission system of the Stock Exchange of Thailand as