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

Mr. Somprasong Panjalak Mr. Somprasong Panjalak, Managing Director who is responsible for the operation of Prime Road Power Public Company Limited (?PRIME?), had duty to supervise the preparation

Roojai Company Limited Roojai Company Limited ("ROOJAI"), a securities issuer, had a duty to prepare and submit the financial statement for the year 2021 within 31 June 2022. However

Roojai Company Limited Roojai Company Limited ("ROOJAI") had a duty to prepare and submit the key financial ratio for the year 2021 within 30 June 2022. However, ROOJAI prepared and

(“UOBAM”) failed to order or act duty resulting in UOBAM failed to communicate with clear and reliable information, and without misleading information. SEC Act S.283 paragraph 1 Settlement Committee

Tapaco Public Company Limited Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the financial statement for the year 2022 within 3 January 2023. However, TAPACO prepared and

Phuket Fantasea Public Company Limited Phuket Fantasea Public Company Limited (“PHUKET”) had a duty to prepare and submit the financial statement for the year 2021 within 31 March 2022. However

the duty of reviewing the Consolidated Financial Statements of Q1/2020 including to audit the Financial Statements of the Year 2020. The auditor appointment proposal was approved on 25 February 2020

company (“AMC”) to easier receive unitholders’ resolution in revision or modification of mutual fund project or management procedure Amendments Details 2.1 Imposing fiduciary duty of AMC in mutual fund

• Key contribution: Only one other laboratories. Not all financial institutions can capture regulators. Regulator roles different. IMPORTANCE OF INVESTMENT ADVISERS IN USA FIDUCIARY DUTY • In USA