relevant SEC notification. SEC Act S.59 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 91/2026 Dated 25/05/2026

communication channels. DAB Act S.30 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 10/2026 Dated 25/05/2026

Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 10/2026 Dated 25/05/2026

, cryptocurrency advertisements were not restricted to Bitazza's official communication channels. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 11

procedures were also inadequate. In addition, the reporting of audit results was ineffective. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 6/2026 Settlement Committee Order No. 12

Following the investor’s complaint and SEC’s further investigation, it was found that on 11 October 2018 during the trading hours of the Derivatives Exchange, a client of {A} sent an order to

damage. Having considered the said fact, the jail term was therefore suspended for three years under Section 56 of the Penal Code.  In addition, the Court revoked the freeze order against Wichai?s assets

worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s

client's order and not taping investment advices and client's order. Following a report on client?s complaint filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A} sent