(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to calculate the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to submit an accurate and truthful report of the net capital to the office of Securities and Exchange Commission which violated section 109 of
Securities (Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to calculate the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and
Securities (Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to submit an accurate and truthful report of the net capital to the office of Securities and Exchange Commission which violated section
of Thailand within the period specified in the notification resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.300 Settlement
's failure to prepare and submit the financial report for the first half of the fiscal year for the year 2018 through the transmission system of the Stock Exchange of Thailand within the period
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of
prepare and submit an interim management discussion and analysis for the first quarterly of 2019 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital
liable for HYDRO’s failure to prepare and submit the interim management discussion and analysis of the year 2019 through the transmission system of the Stock Exchange of Thailand within the period