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
Sasavat Sirison Between October 8, 2019 and November 4, 2019. Mr. Sasavat Sirison’s wife, changed her Sahakol Equipment Public Company Limited (“SQ”) securities via her nominee's securities
(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
") 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
), 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
equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above were
purchase equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above