notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the SEC Office the period specified in the notification of the Securities and Exchange Commission

liable for UOB’s failure to prepare and submit the report on the sale results of structured notes offered to Institutional or High Net Worth investors (II&HNW) through the transmission system of the

December 2014, it was after the SEC’s probe had revealed such wrongdoing. In addition, he committed or permitted no record of important information in the notes to RAM financial statements for the year 2012

Thai Technician Professional Company Limited Thai Technician Professional Company Limited offer to sell newly issued securities in the category of convertible bonds without approval from the SEC

to prepare and submit the defaults in Bill of Exchange and the default in the interest of bonds, these incidents which affects or is likely to affect the rights and interests of securities holders or

prior to the registration of the security, and failing to adequately monitor and maintain the collateral for the bonds. SEC Act S.46 Settlement Committee Meeting No. 10/2025 Settlement Committee