) 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

Magnolia Quality Development Corporation Limited Magnolia Quality Development Corporation Limited ("MQDC") used the proceeds obtained from the debenture offering, which is inconsistent with

VILLA MEDICA (PHUKET) CO.,LTD Between JUNE 2017 to December 2017, VILLA MEDICA (PHUKET) CO.,LTD offer to sell newly issued securities in the category of Debentures without approval from the SEC

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 Criminal Complaint Filed with an Inquiry Official Dated 15/10

., Ltd. offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official

from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the inquiry official of

Mr. Fredrick Ian McIntyre Mr. Fredrick Ian McIntyre colluded with other alleged offenders in operating securities businesses of investment advisory without obtaining license from the SEC, in