Supervisory Board No. TorLorThor. 3/2555 Re: Approval for Personnel of Business Operators to Perform Duties of Analyzing Investment and Giving Investment Advice dated January 18, 2012. Accordingly, the SEC
2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in
2023,” organized for judges and SEC employees. The annual seminar is part of the SEC Strategic Plan regarding collaboration with personnel in the judicial administration to enhance their knowledge in law
operations as mandated by law. On 8 December 2023, the company notified that it still could not meet the fund requirements. Moreover, the SEC detected the company’s lack of personnel readiness and on 1
Wongsiridej, and banned him from functioning as capital market personnel for 5 years. SEC Act (the fifth amendment) Section 241 Civil Action Dated 19/05/2017
executive at any issuing or listed companies for 1 year and functioning as capital market personnel for 3 years. SEC Act (before the fifth amendment) Section 241 in conjunction with Section 83 of the
information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its
information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and monitoring performance of its
of interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for
interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and