THL’s failure to prepare and submit the Annual Registration Statement / Annual Report (“Form 56-1 One Report”) for the year 2021 within the period specified by the Capital Market Supervisory Board. This
the changes in his securities holdings (Form 59) to the SEC within the period specified in the notification of the SEC, which was 3 July 2025. However, Mr. Vorathep failed to prepare and disclose the
(4) the reviewed financial statements for Q2/2022 (5) the reviewed financial statements for Q3/2022 to the SEC within the specified period by the notification of the Capital Market Board. within the
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the