submitted the report of the daily net capital (Form Dor Jor.1) to the SEC office later than the specified period. DAB Act S.30 Settlement Committee Meeting No. 1/2022 Settlement Committee Order No. 2/2022

prominent place at the office of such securities company, published in at least one local daily newspaper, and one copy shall be submitted to the SEC Office. This case is expired. SEC Act S.106

submit the financial statements for Q3/2017 within the specified period. The amount of fines does not include daily fines starting from the day following the settlement date to the day the company properly

Phillip Asset Management Company Limited Phillip Asset Management Company Limited had duties to prepare and submit the Daily Subscription and Redemption Report of Mutual Fund (“Form A-2”) to the SEC

management company in case of redemption payment process when the insured has died by redeem investment units exceed than the time period specified in the scheme. The amount of fines does not include daily

share price including matching orders among those accounts. The actions resulted in increase in the UNIQ closing price and average daily trading volume. These were done in concealment to mislead and

procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing mutual fund, market risk and liquidity risk of daily

risk of daily fixed income which are (1) TMB Ultra - Short Bond Fund ("TMBUSB") (2) TMB Aggregate Bond Fund ("TMBABF") (3) TMB THANAPLUS Fund ("TMBTHANAPLUS") and (4) TMB

Supervisory Board by virtue of Section 247 of the Securities and Exchange Act B.E. 2535 . The amount of fines does not include daily fines starting from the day following the settlement date to the day the

until Satang Corporation Company Limited shall improve and correct the violation properly. However, the mentioned amount of fines does not include daily fines starting from the day following the