untrustworthy characteristics as director and executive of securities issuing company and listed company. As a result, they are not allowed to hold the positions of director and executive of any company whose

from their failure to properly perform a due diligence in case of a company applying for initial public offering of shares as follows: 1. As the financial advisor supervisors, they failed to verify the

offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No

disclosure of false information in accordance with Clause 4(3) of the SEC Notification No. KorChor 8/2553 Re: Determination of Untrustworthy Characteristics of Company Directors and Executives dated April 23

of Foreign Company to Offer for Sale of Newly Issued Debt Securities in Thai Baht dated 22 December 2016; (2) Notification of the Capital Market Supervisory Board No. Tor Jor. 29/2560 Re: Rules for

to the formation of details of the mutual fund scheme for an infrastructure fund. Clause 2 In this Notification: The terms, “mutual fund”, “management company”, “assets of an infrastructure business

On 25 November 2023, the SEC ordered Zipmex to rectify its financial condition to comply with the rules on fund maintenance as the company failed to do so and subsequently suspended its business

accordance with the Notification of the Securities and Exchange Commission concerning Determination of Untrustworthy Characteristics of Company Directors and Executives, mutatis mutandis. In case where the

e-service Online Submission Derivatives Dealing Registered Derivatives Dealer | Licensed Derivatives Dealer Securities Businesses   Company Name Head Office 1. BUALUANG SECURITIES PUBLIC COMPANY

), mother of Mr. Nontawat Dhanasuwiwath who is the director and executive of the Company. Therefore, this is defined as connected transactions complying with notification of Capital Supervisory board, Tor