with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the
with the rules, conditions and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the
report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to order or act in
financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to
Wealth Asset Management Company Limited— as a company licensed securities brokerage, failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, there were
prepare and submit the audited financial statements for the year 2020 and the management discussion and analysis for the year 2020 through the transmission system of the Stock Exchange of Thailand as
2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the
responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Securities and Exchange Commission No. SorNor. 33
from the Bank’s electronic trading system, thus causing damage to clients. Details of the misconduct are as follow: (1) In the case of {A}, she was found to fail to examine the correctness of
responsibility for its accuracy, nor be held liable for any loss or damages arising from or related to its use. ----------------------------- Notification of the Capital Market Supervisory Board No. TorThor. 2