SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement

Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q1 year 2020. Later, TTCL submitted the rectified financial statement for Q1 year on 28 February

”) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. SEC Act S.56(3)(4) Settlement Committee Meeting No. 1

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

which is the period specified by the Notification of the Capital Market Supervisory Board. However, the financial statement and key financial ratio for year 2023 was later submitted on 5 April 2023

Capital Market Supervisory Board. Mr. Kumpol later filed the report (Form 59-2) to the SEC Office on 24 July 2023. SEC Act S.59 Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 15

Capital Market Supervisory Board. SEC Act S.56(4) Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 5/2024 Dated 30/01/2024

office on April 20, 2023 later than the period specified by the Capital Market Supervisory Board. SEC Act S.56(4) Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 9/2024 Dated 30

and submit the key financial ratio of the year 2022 within the period specified by the Notification of the Capital Market Supervisory Board resulted from the instructions or the failure to give

Supervisory Board. SEC Act S.56(3)(4) Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 7/2024 Dated 30/01/2024