However, Mr. Raj failed to prepared and disclosed the report (Form 59-2) to the SEC office within the period specified in the notification of SEC. SEC Act S.59 Settlement Committee Meeting No. 1/2025

. However, Mr. Niran prepared and disclosed the report (Form 59-2) to the SEC office on 2 April 2020 which means Mr. Niran failed to prepare and disclose the report within the period specified in the

, 6 October 2021 3 November 2021 and 18 November 2021. However, Mr. Ratch prepared and disclosed the reports (Form 59-2) to the SEC office on 18 March 2020, 29 January 2021, 23 February 2022, 23

cohabiting couple holding securities and the changes to such holdings (Form 59-2) to the SEC office within the period specified in the notification of SEC. However Mr. Khanist failed to prepared and disclosed

couple holding securities and the changes to such holdings (Form 59-2) to the SEC office within the period specified in the notification of SEC. However Miss Inthira failed to prepared and disclosed the

prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the

, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. On March 11, 2025, the Criminal Fining Committee

Securities Brokerage : Investment Units, had duties to prepare and submit the financial statement for first period of six months of the year 2023 within October 2, 2023 However, FL prepared and submitted the

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. On

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. On