misconduct in violation of Section 170 of the Securities and Exchange Act B.E. 2535 (1992) (SEA) was dishonest duty performance that caused damage to the company or created a benefit for himself, as specified
the Civil Court for payment of the highest civil penalty specified by law and return of the benefits received from the commission of the offenses. Due to the Civil Sanction Committee’s imposition
conducts, the SEC requires that intermediaries have operational procedure to ensure that investors are qualified as accredited investors as specified in the regulations. AI must have good understanding about
executives to clarify or disclose additional information within a specified period and suspend the approval of the issuance of the structured notes, or suspend the offer for sale of the structured notes until
characteristics as described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any action below shall be deemed that the issuer or the offeror
characteristics as described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any of the actions below shall be deemed that the issuer or the
described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any of the actions below shall be deemed that the issuer or the offeror of an
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4