for the bond market are effective and consistent, SEC has appointed the Bond Market Development Committee to render advice on policy making and ensure timely cooperation among market participants. The

Pursuant to Section 89/25* of the SEA, the auditor who perform an audit in accordance with the auditing standards has the duty to report to the Audit Committee of the securities company** or the

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Market Supervisory Board. Mrs. Phenchan later filed the reports (Form 59-2) to the SEC Office on December 27, 2019. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee Order No. 3

, 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

Supervisory Board No. TorThor. 39/2555 within 3 months as from the date on the date of removal. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 15/2020 Dated 20/05/2020

Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in

notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020

notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No