”), namely Mr. Suthep Akkawuthikrai, Mr. Phanuwat Lertviset and Miss Sasithorn Wuthiruengsakul in defrauding and embezzling PICNI assets, thereby causing damages to the company. SEC Act S.315 Criminal

the company. SEC Act S.315 Criminal Complaint Filed with an Inquiry Official Dated 13/03/2009

. (“PICNI”), namely Mr. Suthep Akkawuthikrai, Mr. Phanuwat Lertviset and Miss Sasithorn Wuthiruengsakul in defrauding and embezzling PICNI assets, thereby causing damages to the company. SEC Act S.315

to send comments or suggestions by 16 November 2020 via the website or e-mail to pitchayai@sec.or.th.        ________________________  Note: *4 Acts are the Securities and Exchange Act B.E. 2535

Securities and Exchange Act.  On 16 October 2017, the SEC filed a criminal complaint against the GL management with the Department of Special Investigation (DSI) on account of concealed transactions

trading such share which was not consistent with normal market conditions in order to lure general public to trade such share. SEC Act S.243(2) Settlement Committee Meeting No. 3/2016 Settlement

March 1, 2016 respectively. Later, the audited financial statement for the year 2015 was filed with the SEC and the SET on March 31, 2016. SEC Act S.56 and 199 Settlement Committee Meeting No. 6/2016

Exchange of Thailand and the SEC Office within February 29, 2016. However, the financial statements were later submitted to the SET and the SEC Office on March 2, 2016. SEC Act S.56 and 199 Settlement

submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2

control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code