PowerPoint Presentation Procedure for Administrative Action and Appeal Filing Taking legal action(s) Administrative Action Civil Sanction Criminal Action Considering whether to constitute law

Clause 3. Law on administrative procedure shall, mutatis mutandis, be applicable to a consideration and imposition of administrative sanction and consideration on an appeal against such imposition. Clause

Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the

Mr. Sanpapol Rattanarungroj Mr. Sanpapol Rattanarungroj , as managing director responsible for the operation of S.E.C. Auto Sales and Services PLC (SECC), failed to supervise SECC to submit the

นาย เฟรดดริค อีแอน แมคอินไทร์ ผู้บริหาร ละเลยการตรวจสอบดูแลตามสมควร (fail to supervise) ประกาศคณะกรรมการกำกับตลาดทุน ที่ ทลธ. 0008/2557 ข้อ 31 วงเล็บ 2 เพิกถอน 30/09/2563 - 29/09/2571

Court of First Instance The Appeal Court The Supreme Court These offenses (e.g. presenting false statement concerning public offering, analyzing financial position based on false information, using or

representatives (Section 18) |- Auditors | - |- Approval (Section 30) |- Accounting and Financial Statements (Section 27, 28) |- Reporting Requirements |- Anti-money Laundering |- Arbitration |- Appeal |- Others

, Act BE 2535. As a result, IFEC has been delayed in resolving the problem and cannot return to normal business operations. 28/10/2021 The Civil Court delivered the Appeal Court judgment amending the

, and helping with related financial transactions. The Appeal Court dismissed the case. SEC Act S.243(1)(2) in conjunction with 244 and Section 86 of the Penal Code Criminal Complaint Filed with an

The Royal Ceramic Industry PLC (RCI) by arranging trading accounts of other persons for Mr. Sagha, sending manipulative trading orders, and helping with related financial transactions. The Appeal Court