committing the offenses shall be remitted to the Ministry of Finance as public revenue.   _________________________Remarks: * The domination of trading orders refers to the execution of bid and offer

penalties and the compensations at an equal amount received or should have been received from committing the offenses shall be remitted to the Ministry of Finance as public revenue

Unfair allocation of shares Executives/directors committing dishonest acts Others, please specify………………………………………………………………………… Securities company/asset management company/mutual fund: Inaccurate

) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings revealed that

industry groups and committing to targets as they shift gears to invest in a global economy that is transitioning into a low-carbon world. STRICTLY PRIVATE AND CONFIDENTIAL. FOR PROFESSIONAL INVESTORS ONLY

{C} , who at the time of committing the offense, was the branch manager of the branch where Mr. Pattarawut Thunyajaroen was working. {C} affixed her signature on a cash withdrawal transaction of 9

personnel.      The said actions of both executives were in violation of Section 283 of the SEA, which was the result of the company committing an offence under Section 113 of the same Act. The SEC shall

committing an offence under Section 113 of the same Act. The SEC shall forward the case to the Settlement Committee to consider fine penalties, and if they refuse to enter the settlement process, the SEC shall

potential investments before committing. • Motivated to research the range of investments incorporated in investment products in order to make both a financial and ethical decision on their suitability

doubtful evidence or documents which can clearly be identified that they are forged; (12) it is found under the KYC/CDD process that the client is involved with the committing of predicate offence or money