and receive allocated shares for patrons of such companies. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.311, Section 315 and Section 89/7 in conjunction
allocated shares for patrons of such companies. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.311, Section 315 and Section 89/7 in conjunction with Section 86
specified in the notification of the Securities and Exchange Commission. In this regard, ERX failed to check the allocated foreign exchange limit prior to executing transactions. Accordingly, ERX conducted
the rules, conditions and procedures as specified in the notification of the Securities and Exchange Commission. In this regard, ERX failed to check the allocated foreign exchange limit prior to
Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies. Such conduct was
deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned
PHILLIP Securities (Thailand) Public Company Limited Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned
Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital
material facts that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right