period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. This case is in the
reviewed financial statements for Q2/2023 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which
statement (FORM 69-PP-PRICING) which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC
-PRICING) which is breach of The Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.300 in
and effective system for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC
for analyzing, reviewing and monitoring the quality of securities, resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.283 paragraph 1
2,106,167.05 baht, thereby causing losses to the clients. The misconduct involved the following actions: (1) selling investment units belonging to Client 1 without the client’s instruction and withdrawing the
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Determination of Types of Financial Services of Person Approved to Participate in Regulatory Sandbox to Experiment and Develop Innovation in Support of Service Provision Related to Capital Market