Konoshita used bank deposits of GLH to guarantee loans for his own private company registered in the British Virgin Islands. This guarantee obligation remained from 2013 until 2023, with no evidence that GL
rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failed to implement an adequate system to ensure the accurate and complete management and
procedures as specified in the notification. In this regard, Bitazza insufficiently provided the system to ensure that Bitazza could know and verify the true identity of its customers, including acquiring
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in
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
November 25, 2024, Bitazza failed to comply with the rules, conditions and procedures as specified in the notification. In this regard, Bitazza insufficiently provided the KYC/CDD system to ensure that
financial statements of the group of offerors for the CPT shareholders immediately after the submission of the tender offer to the Office of the Securities and Exchange Commission, and by failing to ensure
;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required
operations of Dao Securities (Thailand) Public Company Limited (“DAOLS”), was required to ensure that DAOLS performed its duties with the level of care and diligence expected of a professional in safeguarding
Supervisory Board. This liability arises from her failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in JCT’s delayed submission of the report