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
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
Lederer (Thailand) Company Limited Lederer (Thailand) Company Limited offer for sale newly issued securities in the category of debentures without having obtained an approval from the SEC Office
in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 5/2020
KTB Securities (Thailand) Public Company Limited KTB Securities (Thailand) Public Company Limited as a securities underwriter failed to comply with the rules, conditions and procedures as specified
notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
DBS Vickers Securities (Thailand) Co.,Ltd. Between May 28, 2019 and May 31, 2019, June 4, 2019 and June 7, 2019 and June 10, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and
notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No
and truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09
Miss Kanyakorn Supakarnkacharoen Miss Kanyakorn Supakarnkacharoen, an authorized director, responsible for the operation of Lederer (Thailand) Company Limited, shall be liable for Lederer (Thailand