Mr. Rapeepat Katekawee Mr. Rapeepat Katekawee, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited

of the former mutual funds or the transferred mutual funds who vote to merge or amalgamate the funds and the unitholders who intend to convert the investment units of such funds into the investment

of the former mutual funds or the transferred mutual funds who vote to merge or amalgamate the funds and the unitholders who intend to convert the investment units of such funds into the investment

ผู้รับดำเนินการในงานที่เกี่ยวข้องกับการประกอบธุรกิจ (outsource) ซึ่ง บลจ. มีหน้าที่กำกับดูแล (supervise) บุคคลภายนอกดังกล่าวปฏิบัติให้เป็นไปตามหลักเกณฑ์ที่กำหนดเกี่ยวกับงานที่รับมอบหมายด้วย 2

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

Section 14 Securities and Exchange Act B.E. 2535 Section 14. The SEC shall have the power and duty to formulate policies to promote and develop, as well as to supervise, matters concerning securities

adequate personnel with expertise to effectively supervise and administrate the risks of outsourced operation, as well as in case of outsourcing operation in investment management and investment risk

Mr. Sorapoj Techakraisri Mr. Sorapoj Techakraisri, Chief Executive Officer responsible for the operation of Pace Development Corporation Public Company Limited ("PACE") failed to supervise

, supervise the capital market, for example, fund mobilization, products and services, related business operators, unfair securities trading activities in the capital market. The SEC revenue comprises fee

Mr. Vannivat Srikraiwin Mr. Vannivat Srikraiwin, the chairman responsible for the operation of Scan Global Public Company Limited (SCAN),failed to supervise SCAN to prepare and submit (1) the audited