prescribed criteria on 20 February 2025. SEC Act S.section 97 Settlement Committee Meeting No. 7/2026 Settlement Committee Order No. 100/2026 Dated 30/06/2026

operations only on 4 February 2025, and such suspension was therefore not in compliance with the prescribed regulatory requirements. SEC Act S.141 Settlement Committee Meeting No. 7/2026 Settlement

known of such non-compliance. However, FPAM notified the Office and the relevant parties only on 7 February 2025. SEC Act S.section 109 Settlement Committee Meeting No. 7/2026 Settlement Committee

include the value of outstanding fee receivables with overdue periods exceeding 90 days in the calculation of its capital fund maintenance. SEC Act S.section 109 Settlement Committee Meeting No. 7/2026

to November 30, 2025 in accordance with the notification of the SEC. DAB Act S.94 in conjunction with 30 Settlement Committee Meeting No. 8/2026 Settlement Committee Order No. 14/2026 Dated 06/08

Exchange Act B.E. 2535 (1992). SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 8/2026 Settlement Committee Order No. 130/2026 Dated 06/08/2026

the people. SEC Act S.285 bis paragraph 4 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 18/2020 Dated 20/05/2020

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