Office and the Stock Exchange of Thailand within the period specified in the notification. The audited financial statements for the year 2016 were later submitted to the SEC Office on March 2, 2017 and the

2019 (Form 56-2) through the transmission system of the Stock Exchange of Thailand (“SET”) within 30 April 2020. However, POMPUI submitted the annual report for the year 2019 (Form 56-2) to SET on 7 May

Taokaenoi Food & Marketing Public Company Limited Taokaenoi Food & Marketing Public Company Limited ("TKN"), a securities issuer, had the duty to prepare and submit the Annual

accounts: Miss Uraiwan’s 6 securities accounts of Country Group Securities Public Company Limited, KGI Securities (Thailand) PCL., KTBST Securities Public Company Limited (“KTBST Securities”), Finansia Syrus

Krungthai Zmico Securities Company Limited which Ms. Uraiwan gave Mr. Telaphon an authority to trade securities in those securitites accounts on behalf of Ms. Uraiwan and Mr. Telapon’s 2 securities accounts

baht solar power plant project of The Bangchak Petroleum Public Company Limited that he obtained by attending the negotiation, before such information became public. SEC Act S.241 Settlement Committee

Mr. Tarakorn Angpubate Mr. Tarakorn Angpubate, President responsible for the operation of Food Capital Public Company Limited (FC), was liable for FC’s failure to prepare and submit the audited

Mr. Itthipat Peeradechapan Mr. Itthipat Peeradechapan, Chief Executive Officer who is responsible for the operation of Taokaenoi Food & Marketing Public Company Limited (TKN), did not order or

Mr. Surin Tohtubtiang Mr. Surin Tohtubtiang, Chief Executive Officer of Kuang Pei San Food Products Public Company Limited (“POMPUI”), who is responsible for the operation of POMPUI, had duty to

Glory Prosperity (Thailand) Co., Ltd. Glory Prosperity (Thailand) Co., Ltd. conspired with other alleged persons to operate derivatives broker businesses in Thailand without proper licenses granted