SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement

Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q1 year 2020. Later, TTCL submitted the rectified financial statement for Q1 year on 28 February

”) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. SEC Act S.56(3)(4) Settlement Committee Meeting No. 1

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

which is the period specified by the Notification of the Capital Market Supervisory Board. However, the financial statement and key financial ratio for year 2023 was later submitted on 5 April 2023

the Capital Market Supervisory Board. SEC Act S.35 Settlement Committee Meeting No. 4/2026 Settlement Committee Order No. 62/2026 Dated 03/04/2026

the transmission system of the SEC Office within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the inquiry official. SEC Act

Market Supervisory Board TorThor 47/2552 Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1

(Newest) Date (Oldest) Notification of Capital Market Supervisory Board TorThor 47/2552 Sale of Securities by a Securities Company Which Does Not Have Possession of the Securities http://capital.sec.or.th

any responsibility for its accuracy nor be held liable for any loss or damages arising from or related to its use. ---------------------- Notification of the Capital Market Supervisory Board No. TorNor