Mr. Sirichai Chaisuthamporn . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty

Miss Kittika Wisarootanart . 31/10/2024 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of

Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications |- Fees |- Related Circular Letter    Executives of securities companies and personnel in securities business |- Approval and

follows :     - a civil monetary penalty of 2,000,000.00 Baht     - a reimbursement of investigative expenses in an amount of 62,039.00 Baht

Definition of “Executives” under Chapter 3/1 of the Securities and Exchange Act B.E. 2535 (1992) as Amended by the Securities and Exchange Act (No. 4) B.E. 2551 (2008)

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

governance structure and material facts related to the board, 23 subcommittees, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and

's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht

agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth