price settlement of such purchase for Mr. Swake Srisuchart?s benefit. SEC Act S.241 in conjunction with Section 86 of the Penal Code Settlement Committee Meeting No. 5/2013 Settlement Committee Order

("TRUBB") changed his holding of TRUBB securities for 20 times but failed to prepare and disclose all reports on changes in his holding to the SEC Office within the period specified in 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

specified in the notification of the Capital Market Supervisory Board. Mr. Woraphant later filed the report (Form 59-2) to the SEC Office on March 25, 2020. SEC Act S.59 Settlement Committee Meeting No. 3

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

or a failure to order or act according to the duties of Mr. Khophong. Bualuang Securities failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital

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

AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective

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