manager without obtaining the required licenses. This case is in the process of inquiry by the inquiry official. SEC Act S.16 in conjunction with Section 83 of the Penal Code Criminal Complaint Filed

. This case is in the process of inquiry by the inquiry official. DAB Act S.26 Criminal Complaint Filed with an Inquiry Official Dated 15/05/2026

circumstances. However, Mr. Chaiyut prepared and disclosed the report (Form 59) to the SEC office on 24 June 2022, later than the specified period. SEC Act S.59 Settlement Committee Meeting No. 5/2026

the report (Form 59) to the SEC office on September 20, 2021. SEC Act S.59 Settlement Committee Meeting No. 5/2026 Settlement Committee Order No. 81/2026 Dated 29/04/2026

September 13, 2023. However, Mr. Praphol submitted the Form 246-2 on June 13, 2025, which constitutes a late filing beyond the period prescribed by the Capital Market Supervisory Board. SEC Act S.246

interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s rules governing trading by executives and employees. SEC Act S.283 Settlement Committee

to prepare an audit plan that appropriately reflected the relevant risks. The audit procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.30

inquiry official. SEC Act S.240 (the fifth amendment) Criminal Complaint Filed with an Inquiry Official Dated 30/10/2018

the SEC within the specified period. The right to institute a criminal prosecution is extinguished by the death of the offender. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated

and the statute of limitations ran out. SEC Act S.56 Criminal Complaint Filed with an Inquiry Official Dated 22/10/2019