notification of the Capital Market Supervisory Board. He later filed the reports (Form 59-2) to the SEC Office on January 21, 2019. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee

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

notification of the Capital Market Supervisory Board. She later filed the reports (Form 59-2) to the SEC Office on November 28, 2018. SEC Act S.59 Settlement Committee Meeting No. 1/2020 Settlement Committee

Market Advisory Board violated section 113 of the Securities and Exchange Act B.E. 2535. Bualuang Securities used 3 accounts of asset management companies for the benefit of other customer. SEC Act S

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

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

with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and