Printable Format - Laws and Regulations Derivatives Dealer |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS

categorized by issues 2022   3 Action on financial statements of listed companies 2022   4 Action on approved persons 2022   5 Aggregate complaints data 2022   6 Investigations classified by types of offences

company directors and the unclear information regarding the invitation to the Board of Directors meeting, the SEC has therefore instructed JKN and persons involved to give additional clarification and

deposit made for a due diligence on A Day amounting to 120 million baht. The SEC viewed that POLAR ' s statement on the above issues is unclear. In addition, POLAR is currently unable to submit its

as 1.21 times, which significantly affected EARTH's financial position. In addition, the sources, existence and status of such liabilities are still unclear and may widely affect the benefits of the

profit should also be avoided while accounting aspect of the transaction remains unclear as it could affect company share price and constitute a violation of securities law,? Chalee added.

issuance of POLAR-W4 and the issuance and offering of convertible debenture, and (5) allotment of 4,000 million PP capital increase shares. POLAR consequently proceeded these matters despite its unclear

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules

Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating