, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or

and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. SEC Act S.56(1) Settlement Committee Meeting

, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. SEC Act S.109 Settlement Committee Meeting No. 9

with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116

supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out

, 2014) and the financial statements for Q1/2015 to the SEC and the SET within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.300 Criminal Complaint

liable for WORLD’s failure to prepare and submit the annual registration statement for the year 2016 (Form 56-1) within the specified period. SEC Act S.300 Settlement Committee Meeting No. 4/2017

prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 within the period specified in the notification. SEC Act S.300 Settlement Committee Meeting No. 5/2017

prepare and submit the annual registration statement for the year 2016 (Form 56-1) ended December 31, 2016 within the period specified in the notification. SEC Act S.300 Settlement Committee Meeting No