Mr. Thanawat Kiattisak Mr. Thanawat Kiattisak operated derivatives business without obtaining license from the SEC with the other person, in violation of the Derivatives Act B.E. 2546 (2003

or others, (4) interferance with the client?s asset by withdrawing and transfering the client?s securities, and (5) breach of ethical and professional code of conduct prescribed by the Association of

redeemed the investment units of Bualuang Long-Term Equity Fund (B-LTF) as suggested by the bank's officers The redemption was in breach of a condition on investment unit holding period of at least 5

the fund establishment have been covered by the media. It is therefore important to clarify that approval for any securities offering or fund establishment will be certain only when the applicants

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

and submit the reviewed financial statements for Q1/2017 to the SEC Office and the Stock Exchange of Thailand within the specified period, resulting in the company’s violation of section 56. SEC Act

program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement

from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the inquiry official of

violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the inquiry official of Economic Crime

violation of Section 315 of the Securities and Exchange Act B.E. 2535. On October 7, 2020, the Criminal Court sentenced the defendant to 10 years in prison. The defendant exercised the right to appeal. The