Supervisory Board concerning the Rules on Personnel in the Capital Market Business to be a temporary highest responsible person during the process of appointing the highest level responsible person in the
the business operator according to the RLA (“Risk Level Assessment”) form, and submit the first results of such assessment to the SEC Office within 31 July 2023 However, KWI reported Risk Level
the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. SEC Act S.Section 57(6) Settlement
securities via her nominees' securities accounts but failed to prepare and disclose report on change in her holding to the SEC Office within the period specified in the notification of the Capital Market
, and procedures as specified in the Notification of the SEC Office by managing 15 mutual funds to invest in other mutual funds under SCBAM’s management more than one level. SEC Act S.125(1) and 126/1
Engineering and Construction Public Company Limited (STEC) changed his holding of STEC securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period
failed to prepare and disclose report on change in her holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mrs. Chantip later filed the report
his holding of SVI securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board
nominee's securities account but failed to prepare and disclose report on change in his holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board