professional duties with responsibility and care** by signing the documents knowing that no actual service was provided. SEC, therefore, orders the following administrative sanctions:             (1) {D

Following the complaints from investors and the inspection reports from TMB, which is licensed to operate securities business as a Limited Broker Dealer and Underwriter (LBDU) of investment units

: Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TRAF shares from November 15, 2007 to January 9, 2008, the SEC probed into the case and found that Lalana, Sippakorn, then

misconduct related to the offences of the investment consultants. Following an inspection report of {X1}, which is licensed to undertake securities business in the category of limited brokerage, dealing and

revoked. In addition, {A} and {H} were suspended from their duties as an approved investment analyst and an approved investment consultant, respectively. Following investor complaint and report from Country

Following a report from KTB and the SEC’s further investigation, it was found that during the period from 2024 to 2025, Miss Wannapat misappropriated the assets of two clients in the total amount of

as follows:1. Strengthening Enhanced CDD and the monitoring of unusual transactions by requiring business operators to take the following actions: (1) Conduct Enhanced CDD in cases where information

following transactions: a) A 56% investment in DAII through an acquisition of DAII’s newly issued shares in January, in exchange for transfer of the Company’s 51% stake in Nirvana Development Co., Ltd

lease payment of Singha Complex. Major Developments in 2017 • Approved in the EGM 1/2016, in 1H17 the Company acquired 60% stake in NVD, previously called Daii Group Plc. (‘DAII”), through the following

Board by virtue of Section 60 of the Securities and Exchange Act (No.4) B.E. 2551 (2008) hereby issues the following regulations: Clause 1. This Notification shall come into force as from 1 May 2008