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
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
SEC Office and the Stock Exchange of Thailand within the period specified in the notification of the Capital Market Supervisory Board. The financial statements were later submitted to the SET and the
with the notification of the Capital Market Supervisory Board. However, RISLAND prepared and submitted the audited financial statements for the year 2020 on June 28, 2021 which is in breach of the
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 29, 2019 and June 11, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to maintain net capital
UOB Capital Services Company Limited UOB Capital Services Company Limited ("UOBCS") formerly Citicorp Leasing (Thailand) Company Limited, a securities issuer, had a duty to prepare and
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
derivatives broker, failed to maintain the net capital (?NC?) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement
and truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09
the transmission system of the Stock Exchange of Thailand within the period specified in the notification. However, the reviewed financial statements for Q3/2019 were later filed with the SET on