as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management systems which may cause serious damage to the benefit of

is responsible for the operations of BBL, shall be liable for BBL’s failure to comply with the rules, conditions and procedures as specified in notification of the Capital Market Supervisory Board By

procedures as specified in the notification of the Capital Market Supervisory Board by failing to have a sufficient and effective system for executing securities transactions for the mutual fund. SEC Act S

the Capital Market Supervisory Board. SEC Act S.35 Settlement Committee Meeting No. 4/2026 Settlement Committee Order No. 62/2026 Dated 03/04/2026

liable for MQDC’s failure to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board which is MQDC used the proceeds obtained from the

06:32 Notification of resolution of the Board of Directors' Meeting, Connected Transactions 21/01/2020 09:30 Transactions with the Khonburi Sugar Power Plant Infrastructure Fund (KBSPIF) 12/11/2019 09

and the draft prospectus with the SEC Office. Mr. Pairat Sampaothong failed to comply with the order of the Settlement Committee, the SEC therefore filed a criminal complaint against him with the

accurate information was in place to ensure the status of qualified customers as high net worth investors. SEC Act S.113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025

scope of work. In addition, CL did not inform the SEC about the outsourcing. SEC Act S.100 in conjunction with 113 Settlement Committee Meeting No. 2/2025 Settlement Committee Order No. 20/2025 Dated

Settlement Committee Meeting No. 4/2025 Settlement Committee Order No. 67/2025 Dated 30/05/2025