Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in

Kasikorn Securities Public Company Limited Kasikorn Securities Public Company Limited failed to prepare and submit the result of the structured note, underlied to PTT Exploration and Production

prepare and submit the result of the structured note, underlied to PTT Exploration and Production Public Company Limited ("PTTEP") sale report to the SEC Office within the period specified in the