Microsoft Word - MD&A SET Q3'2020 ENG Page 1 of 2 November 13, 2020 Re: Management Discussion and Analysis for Quarter 3/2020 (September 30 ,2020) To: Director and Manager of the Stock Exchange of

MD & A - Q3-62 _สอบทาน__EN November 7, 2019 Subject : Management Discussion and Analysis For the second quarter ended 30 September 2019 (reviewed) To : Director and Manager The Stock Exchange of

Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete

Bangkok, 23 June 2017 ? The SEC has ordered Polaris Capital Public Company Limited (POLAR) to have an auditor conduct a special audit on the sources, existence and completeness of its accounting

the report from Asia Plus Securities Plc., the SEC probed into the case and found that {A} had been authorized by her client to make derivatives trading decisions on the client' behalf. The client was

Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with

for a certain period of time and with high trading volume. Moreover, {A} admitted that he traded securities for a client without any order. Although this client notified him to stop trading, {A

securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A

Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the

Bangkok, January 14, 2015 - The SEC imposed a one month and ten days suspension on {A}, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete and adequate