(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to comply with the rules of the Capital Market Supervisory Board when DBS failed to maintain the net capital which violated section 141 of the

operators and comply with the changing financial reporting standards. It also amends certain disclosure requirements in the financial statements reporting forms to reduce burdens and costs of securities

Mr. Sermkhun Kunawong Between August 15, 2012 and September 21, 2012, Mr. Sermkhun Kunawong failed to comply with rules specified by the Securities and Exchange Commission. In this regard, Mr

trigger point at 50 percent of the total voting rights of OCEAN. But he failed to comply with the rules specified by the Securities and Exchange Commission concerning Tender Offer. Later on January 7, 2015

exceed trigger point at 25 percent of the total voting rights of TPP. But he failed to comply with the rules specified by the Securities and Exchange Commission concerning Tender Offer. Later on March 6

Successmore Being Public Company Limited Successmore Being Public Company Limited (“SCM”), failed to comply with the rules, conditions and procedures as specified in the notification of the Capital

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective Investment consultant ("IC

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to

Securities Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in complex fund sale system accordance with the