director of UVAN, knew inside information about the significant increase of company’s profits in the fourth quarter of 2017. She, then, bought UVAN shares during 27 December 2017 - 22 February 2018 in the
, Pongsachalerm and Chaiwat?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and Exchange Act of 1992 and thus liable to
in benefits from trading of KARAT shares. Apichart?s actions were deemed using inside information to gain unfair benefits over other persons in contravention of Section 241 of the Securities and
utilizing the inside information for selling IFEC shares since 1 November 2016 till 22 December 2016, totaling 978,000 shares, through his own trading account. 11/09/2019 The Civil Court delivered a decree
) by improving the internal control system to be sufficient and efficient, with P&L Internal Audit Company Limited. as the auditor within the group, That the company is in the process of reviewing and
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements
Company Limited (100%) Date of Transaction Within April 2018 Source of Funds Internal cash flow Objective of investment 1. To invest in Smart Vending Machines (SMV) project 2. Internal financial
| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents
Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of
ภายใน (Internal) Questionnaire_B B Communication within https://www.sec.or.th/TH/Documents/Auditor/QAQR-07.xlsx OFFER_DEBENT_EN.xlsx Electrical Products and Computer 08 Energy and Utilities 23,323.60 7 09