newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement
Ngern Tid Lor Public Company Limited Ngern Tid Lor Public Company Limited offer to sell newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by
IBIZ PLUS NETWORK CO.,LTD. Between December 17, 2021, and May 17, 2022, Ibiz Plus Network Co.,Ltd. have offered newly issued securities in the category of Crowdfunding bond without the approval from
securities in the category of shares (Public Offering) without approval from the SEC office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.34 in conjunction with Section 83 of
approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 3/2025 Settlement Committee Order No. 40/2025 Dated 25/04/2025
) without the approval from the SEC Office which is in breach of the Securities and Exchange Act B.E. 2535 SEC Act S.33 Settlement Committee Meeting No. 5/2025 Settlement Committee Order No. 90/2025 Dated
Limited’s shares offering in the form of general or to the public without approval from the SEC office. SEC Act S.300 in conjunction with 34 Settlement Committee Meeting No. 7/2025 Settlement Committee
-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s
BBL Asset Management Company Limited From 12 July 2023 to 30 September 2024, BBL Asset Management Company Limited as a mutual fund management company, failed to comply with the rules, conditions and