prepare and submit the reviewed financial statements for Q3/2015 ended September 30, 2015 within October 21, 2016,the due date extended by SEC Office. SEC Act S.300 Settlement Committee Meeting No. 2
prepare and submit the reviewed financial statements for Q1/2016 ended March 31, 2016 within August 15, 2016,the due date extended by SEC Office. SEC Act S.300 Settlement Committee Meeting No. 2/2017
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
receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020
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
KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause
induce the general public to trade the securities. SEC Act S.243(1) in conjunction with 244 and 243(2) in conjunction with Section 83 of the Penal Code Settlement Committee Meeting No. 7/2012 Settlement
induce the investing public into the trading. SEC Act S.243(1) in conjunction with 244 and 243(2) Settlement Committee Meeting No. 4/2012 Settlement Committee Order No. 32/2012 Dated 20/08/2012