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

with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is

and submit the reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.56(1) Settlement Committee Meeting No. 6/2020 Settlement

notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No

with the rules, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to demonstrate that the investment decisions it made have been prudently