. SEC Act S.56(2) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 23/2020 Dated 02/09/2020

Order No. 5/2020 Dated 23/01/2020

?), shall be liable, under section 283 of the Securities and Exchange Act B.E. 2535, to an offence of Bualuang Securities. The offence of Bualuang Securities is a result of an order or an act of Mr. Khophong

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

Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 30/2020 Dated 18/11/2020

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

systems which may cause serious damage to the benefit of the people. SEC Act S.133 paragraph 1 and 133 paragraph 2 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13

Supervisory Board No. TorThor. 39/2555 within 3 months as from the date on the date of removal. SEC Act S.113 Settlement Committee Meeting No. 3/2020 Settlement Committee Order No. 15/2020 Dated 20/05/2020

accordance with the approved mutual fund project and the commitment made with the unitholders. SEC Act S.125(1) Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 25/2020 Dated 02/09

. SEC Act S.59 Settlement Committee Meeting No. 6/2020 Settlement Committee Order No. 29/2020 Dated 18/11/2020