information for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among

Mr.Assavin Chingumtornvong Between May 19, 2014 and July 23, 2014, Mr.Assavin Chingumtornvong has illegally sold 8,651,400 ordinary shares of Thai Industrial and Engineering Service Public Company

Engineering Service Public Company Limited (“TIES”), through securities trading account of Miss Ornsiree. The sales were made in such a way that took advantage of others by using non-public information material

to order or act where he has the duty, resulted in the offence committed by Zipmex concerning the case that during April 7, 2022 to July20, 2022, Zipmex did not fully disclosed necessary information

receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020

Mr. Noppadol Dej-Udom Mr. Noppadol Dej-Udom while being an Executive Vice Chairman of the Executive Committee of True Corporation Public Company Limited (TRUE), knew or possessed inside information

Banpu Public Company Limited Banpu Public Company Limited (“BANPU”) failed to prepare and submit the result of the bond sale report to the SEC Office between 26 February 2020 to 27 January 2021

Mrs. Somruedee Chaimongkol Mrs. Somruedee Chaimongkol, Chief Executive Officer who is responsible for the operation of Banpu Public Company Limited (“BANPU”), shall be liable for BANPU failure to

Mrs. Chatkaew Gajaseni Mrs. Chatkaew Gajaseni, while being director and executive director of PTG Energy Public Company Limited (PTG), knew or possessed negative substantial inside information about

UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules