for her own benefit. However, she failed to submit a report on the change in her securities holding (Form 59) in such account to the SEC Office within the period specified under the Notification of the

”), shall be liable for JCT’s failure to prepare and submit the Annual Registration Statement / Annual Report (“Form 56-1 One Report”) for the year 2024 within the period specified by the Capital Market

failure to maintain net capital (NC) together with the reasons of such incident to the SEC office within the period specified in the notification of the Securities and Exchange Commission. DAB Act S.94

Analysis :"MD&A" through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) MD&A for 2020 (2) MD&A MD&A for

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

FL 2024 CO., LTD. FL 2024 CO., LTD. ("FL") (Former FINANCIAL LINK MUTUAL FUND BROKERAGE SECURITIES CO., LTD.) had duties to prepare and submit the Complaint report of Q2/2023 within JULY 17

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

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. On

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. On

’ impact on the business operation of the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However