October 2004 (as amended) (the “Notification on Acquisition or Disposal of Assets"). The highest transaction value equals 0.03 percent based on the value of consideration basis. The highest transaction

/2001 2. Notification of the Office of the Securities and Exchange Commission  SorNor. 12/2545 Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of

Based on information provided by a whistleblower and the SEC’s further investigation, it has been revealed that Morakot has displayed behaviors indicative of conducting securities business in the

inconsistently with normal market conditions, during the periods from 26 February – 7 March 2016, and from 8 March – 18 April 2016.The actions by Mrs. Vally Sungsiri and Miss Sunisa Chutinaton constitute the

the incident, Mr. Thanakorn Thanawarith, as CEO, and Mr. Dusadee Lekyim, as director, of ALL, co-signed to certify the accuracy of the 2022 56-1 One Report.ALL’s actions described above constitute the

evidence, complaints from 10 securities firms asking for legal actions against a number of persons, allegedly deceiving and defrauding the companies of the securities trading money, causing damage to the

? accounts that he borrowed the money from, for other?s or his own benefits. The SEC reviewed and found that Chalerm?s actions were deemed fraudulent, deceitful, interference with clients? assets with the

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

scheme, {F} and three other persons who entered the settlement procedure on January 22, 2014 aided or abetted the aforesaid actions by allowing others to use their trading accounts.Their actions were in

violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with