sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board that is no system to control short position transaction underlying with SET50 index
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
decrease of 74.19 percent and fell from Q2/2014 with the net loss of 80.54 million baht, a decrease of 63.29 percent. Mr. Charin used such material non-public information to gain unfair benefits over other
(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
), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311
") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed IC’s duty. SEC Act S.113 Settlement Committee Meeting No. 6/2023 Settlement
prices of any securities will increase or decrease and WHA did not notify such negotiation to the Stock Exchange of Thailand. SEC Act S.239 Settlement Committee Meeting No. 2/2016 Settlement Committee
profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). He obtained the material non
BLA through its the securities trading account in such a way as to take advantage of other persons by using negative material non- public information concerning BLA’s operating net profit decrease in Q2