AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
during the past 90-day period (the first day being the date of action under item 2 which give rise to this reporting obligation) 1,000,000 Baht/Unit, on the date of: 24 January 2020 5. Information about
under item 2 which give rise to this reporting obligation) 0.3417 Baht/Unit, on the date of: 7 August 2020 5. Information about the reporting person name Advance Capital Partners Pte Ltd 6. Person
period (the first day being the date of action under item 2 which give rise to this reporting obligation) 2 Baht/Unit, on the date of: 27 October 2020 5. Information about the reporting person name LESSO
day being the date of action under item 2 which give rise to this reporting obligation) 0.2665 Baht/Unit, on the date of: 30 Oct 2020 5. Information about the reporting person name Advance Capital
period (the first day being the date of action under item 2 which give rise to this reporting obligation) 0.2772 Baht/Unit, on the date of: 18 Nov 2020 Information about the reporting person name Advance
under item 2 which give rise to this reporting obligation) 0.3417 Baht/Unit, on the date of: 7 August 2020 5. Information about the reporting person name Advance Capital Partners Pte Ltd 6. Person