According to a client’s complaint and the SEC’s further investigation, it was found that during December 2007 – September 2012,  executed securities trading orders for the client who acknowledged

each type of capital market products and investment proportion. Trading orders will be executed according to the selected portfolio advisory and will be monitored and rebalanced to maintain its

investigation, during 13 November 2015 - 12 January 2016, Prasert, Poramaporn and Narumon executed trading transactions of BA shares in group and on a continuing basis, and matched trading orders among themselves

redemption order was executed in breach of the terms and conditions of the tax benefits. As a result, the customer had to return the tax deduction money to the Revenue Department and pay for the capital gain

made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their

processed. Instead, he falsified documents to deceive the clients that their orders had been executed.  He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked

by the client to take care of the trading account and inform the client after the trades were executed. Meanwhile, {A}, a head of the marketing team, admitted that he was informed by {B} that the

information from the client or the officer who executed the selling transaction for the client. Signing the buy/sell order form of investment units without contacting and giving advices was failing to perform

precedent before or at the same time as the merger. On 8 March 2019, the Company and the Seller have executed the Amendment to the Share Purchase Agreement dated 20 June 2018. The amendment resulted from the

sell the aforementioned assets and that any future sale of these assets would be executed in compliance with the governing regulations. Later on 19 January 2024, NUSA notified the exercise of the legal