obtained unlawful gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without
gains for themselves or another person. In this regard, they jointly approved and ordered RICH to not only make advance payment to trading partners for the purchase of goods without receiving goods in
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC
Global Consultant Company Limited Global Consultant Company Limited (“Global”) colluded with the other alleged offender in operating securities businesses of brokerage. Furthermore, Global used
. Securities Code: TKT 2. Date of action resulting in reporting obligation: 24 November 2020 2.1 () Acquisition ( ) Disposition ( ) Through the Stock Exchange of Thailand via a securities company: Thai
issued by a company whose shares are listed on the Stock Exchange of Thailand. 3. In the case of two persons or more commencing a concert party relationship or the acquisition of a juristic person under
qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the job title; (5
Exchange Commission as qualified to be appointed as fund manager; (4) “Manager” means a person assigned by the board of directors to take the highest responsibility in managing the company, regardless of the