Qualifications of Debenture Holders’ Representatives and Authorized Actions of Debenture Holders’ Representatives (codified)

the process of establishing a working group consisting of related agencies for integrated enforcement actions, including legal actions on the offenses of share price manipulation against which the SEC

informed to the Audit Committee and the auditor to explain the facts and related actions regarding this issue. SEC requires the actions of the Audit Committee to ensure that SPRC has measures to improve

clarification of the facts in such case within 29 March 2023, in relation to the impacts on the company and the clients as well as further actions to be taken by the company. In this connection, Zipmex was

Office operation ( 6 record(s) found) No. Report Name Data File As of Data Definition 1 Actions against related party transactions and acquisition and disposal of assets 2022   2 Rectification orders

securities in the client?s account without authorization. His actions, authorized or arbitrary, were deemed interference with client assets, non-compliance with professional standards of conduct. In the case

juristic persons. The legal actions resulted from the investigation partially completed while other additional issues were under the SEC?s probe. As the SEC investigation on such additional issues related to

business. Thitirat?s wrongful actions resulted in her having prohibited characteristics of investor contacts in the securities business. The SEC therefore revoked the approval of investor contact from

company is licensed to operate derivatives business. Later, the company took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal

. Later, she took possession of the deceived investors’ assets. Such actions were deemed to be a public frauds under Section 343 of the Criminal Code. The public prosecutor issued a non-prosecution order