Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 8/2023 Settlement Committee Order No. 70/2023 Dated 21/09/2023
control rent gas tanks from PICNI and made false entries in the accounting document with an intention to deceive others. She also recorded false revenues in the ledger and used such numbers in the company’s
gas tanks from PICNI and made false entries in the accounting document with an intention to deceive others. He also recorded false revenues in the ledger and used such numbers in the company’s financial
bank account to receive transfers of the total sale money of KC’s bill of exchange (B/E) to be further distributed to other persons. This case is under consideration of the public prosecutor. SEC
systems of work related to the program trading in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.113
program basis without providing its securities for credit rating prior to the offer for sale of the securities which is in violation of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement
newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement
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
information for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among
sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the