, managing director of Bania Co., Ltd.Following the routine inspection, the SEC found that T.U. Dome Fund managed by ING Funds failed to comply with the fund scheme and regulations under the Securities and
Securities and Exchange Act 1992 (SEA). Under the SEA, other than shareholders? approval, ADAM board of directors has the duty to comply with the Act which prescribes that acquisition or disposal of
market. Investor contacts are obliged to send trading orders into the Stock Exchange of Thailand's trading system properly and not get involved in any wrongdoing. Any investor contact who fails to comply
under Thai law and simultaneous offerings in local and foreign markets. The SEC, however, may revoke approval for operation if any CRA fails to comply with the IOSCO standards or is revoked by home
Ms. Sujeera managed the financial transactions regarding their trading of TIGER's stocks. 05/01/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows
and Mr. Atthavut managed the financial transactions regarding their trading of TIGER's stocks. 05/01/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as
such loans were too low. The acts mentioned above did not comply with GSC’s investment policy causing GSC to experience high investment risks and lose the opportunity to gain higher and reasonable
benefit from contravention or failure to comply with such duties. In addition, the act of Miss Orranan and Mr. Nugul was assisted or facilitated by Mr. Thanyapong, Mr. Akkaradech, Miss Watcharawee and