Limited ("TRUBB") changed her holding of TRUBB securities for 3 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the

Citibank N.A. Citibank N.A., a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification of the Capital

her holding of AMC securities for 10 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the notification of the Capital

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management

disclose all reports (Form 59-2) on changes in securities holding of his spouse to the SEC Office within the period specified in the notification. He later filed the report (Form 59-2) to the SEC Office

provided in the Office?s electronic work system to all shareholders of business within the period specified in the notification. However, a copy of such opinion were later delivered to all shareholders of

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system

2017 to the SEC Office and the Stock Exchange of Thailand within February 28, 2018 as specified by the notification of the Capital Market Supervisory Board. The audited financial statements were later

2017 (Form 56-1, 2017) to the SEC Office and the Stock Exchange of Thailand within April 2, 2018 as specified by the notification of the Capital Market Supervisory Board. The annual statement was later

insured has died by redeem investment units exceed than the time period specified in the scheme. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 13/2020 Dated 20/05