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

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

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

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