COL securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the

to prepare and submit financial statement for Q3 year 2023 within the period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give

prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the

Securities Brokerage : Investment Units, had duties to prepare and submit the financial statement for first period of six months of the year 2023 within October 2, 2023 However, FL prepared and submitted the

Satochi Company Limited Satochi Company Limited ("Satochi"), a digital asset broker, is obligate to submit a request for approval of major shareholder to the SEC office within the period

Satochi’s failure to submit a request for approval of major shareholders to the SEC office within the period specified in the notification of Ministry of Finance, resulted from the instruction or the failure

Office within the next business day. However, Phillip Asset Management Company Limited prepared and and submited Form A-2 late in 3 cases, namely Form A-2 for the July 31, 2023, October 2, 2023, and

failure to submit an annual compliance report for the year 2023 to SEC office within the period specified in the notification of the Securities and Exchange Commission, resulted from the instruction or the

Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out. SEC Act S.300 Criminal Complaint Filed with an Inquiry Official Dated 10/06

supervise TUCC to prepare the reviewed financial statements for Q1/2016 and the reviewed financial statements for Q2/2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in