United Overseas Bank (Thai) Public Company Limited United Overseas Bank (Thai) Public Company Limited ("UOB"), failed to prepare and submit the report on the sale results of structured

believing that JKN had an increase in trade creditors that year. These fictitious trade creditors were then used to exercise voting rights in the selection of JKN’s business rehabilitation planner. This case

believing that JKN had an increase in trade creditors that year. These fictitious trade creditors were then used to exercise voting rights in the selection of JKN’s business rehabilitation planner. This case

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

Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 8/2023 Settlement Committee Order No. 70/2023 Dated 21/09/2023

newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement