test result to the SEC office within http://market.sec.or.th/public/idisc/en/Enforce Civil Action Dated 19/05/2017 Mr. Yinganan Wongsiridej Mr. Yinganan, while he was a fund manager of the Sala@Sathorn
financial statements and cooperate with the auditor in auditing its 2010 and 2011 financial statements. PICNI must submit to the SEC and publicly disclose the rectified and audited financial statements within
were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee considered such report. Previously, the SEC had notified AIE and
above-mentioned custodians would have to provide the verified NAV-relevant information to AMC within the next business day after receiving all necessary data, unless there are valid reasons for
financial position and operating results as required by law, and also on the condition that the filing fees have been paid within the specified timeframe. Over the years, the SEC has observed that the
the public, as well as submit it to the SEC within five business days after the new PVD has been established; (2) Preparation and Submission of Pooled Fund Data Report: AMC is required to prepare
period. Additionally, the company failed to prepare and submit reports on its information technology systems to the SEC within deadline. Therefore, Longroot was deemed to have failed to comply with the
operations under the Sandbox to ensure that the participants are well prepared to provide services within the Sandbox framework; and (3) The participants must specify the specific scope of services for
plan. This includes limiting business operations to avoid additional risks. If a business operator fails to submit or execute the plan within the specified timeframe, or if the NC falls below 60 percent