-2) to the SEC office on 4 June 2020 which means Miss Pikun failed to prepare and disclose the report within the period specified in the notification of the SEC. SEC Act S.59 Settlement Committee

) to the SEC office on April 12, 2022 which means Mr. Yongkiat failed to prepare and disclose the report within the period specified in the notification of the SEC SEC Act S.59 Settlement Committee

report (Form 59-2) to the SEC office on 28 December 2020 and 30 December 2020 which means Mr. Thana failed to prepare and disclose the report within the period specified in the notification of the SEC

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. SEC

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. SEC

disclosed the report (Form 59-2) to the SEC office on 3 August 2020 which means Miss Niramarn failed to prepare and disclose the report within the period specified in the notification of the SEC. SEC Act

the report (Form 59-2) to the SEC office on 21 April 2020 which means Miss Ariya failed to prepare and disclose the report within the period specified in the notification of SEC. SEC Act S.59

report (Form 59-2) to the SEC office on july 2, 2021 which means Mr. Vinai failed to prepare and disclose the report within the period specified in the notification of SEC. SEC Act S.59 Settlement

May 29, 2020 However, Mr. Chumroen prepared and disclosed the report (Form 59-2) to the SEC office on February 14, 2020 and June 9, 2020 which means Mr. Chumroen failed to prepare and disclose the

นาย พิสิทธิ์ ปทุมบาล ผู้บริหาร และผู้แนะนำการลงทุนด้านหลักทรัพย์ เป็นผู้ควบคุมงานด้าน front office พบว่ามีการละเลยการตรวจสอบดูแลและสั่งการให้มีการดำเนินการใด ๆ เพื่อแก้ไขและปฏิบัติให้ถูกต้อง ทั้งที่