Mr. Uchai Vilailerstpoca On December 1, 2014, Mr. Uchai Vilailerstpoca acquired shares of Ocean Commerce Public Company Limited (OCEAN) which caused his aggregated holding of OCEAN shares to exceed
Beyond Securities Public Company Limited Between December 20, 2018 and April 15, 2021 Beyond Securities Public Company Limited, a securities company, failed to comply with the rules, conditions and
Mr. Uchai Vilailerstpoca On December 1, 2014, Mr. Uchai Vilailerstpoca acquired shares of Ocean Commerce Public Company Limited (OCEAN) which caused his aggregated holding of OCEAN shares to reach or
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
Supervisory Board concerning the Rules on Personnel in the Capital Market Business to be a temporary highest responsible person during the process of appointing the highest level responsible person in the
comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective Operation and Business
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for arranging and keeping
KWI Life Insurance Public Company Limited KWI Life Insurance Public Company Limited (“KWI”) a company licensed Securities Brokerage : Investment Units, failed to comply with the rules, conditions and
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person that is
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person that is