;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

's system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the

-supervision system for executive asset management that was insufficient to prevent conflicts of interest. Specifically, Bualuang Securities issued internal approvals exempting six executives from the firm’s

Richy Place 2002 Public Company Limited Richy Place 2002 Public Company Limited ("RICHY"), a securities issuer, prepared and submitted the key financial ratio for the year 2023 through the

and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116

, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors

, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee

, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106