including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal

sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with

decrease of 74.19 percent and fell from Q2/2014 with the net loss of 80.54 million baht, a decrease of 63.29 percent. Mr. Charin used such material non-public information to gain unfair benefits over other

Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to

Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021

prices of any securities will increase or decrease and WHA did not notify such negotiation to the Stock Exchange of Thailand. SEC Act S.239 Settlement Committee Meeting No. 2/2016 Settlement Committee

appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently that violate section 113 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick

to be able to operate the investment advisory service business efficiently that violate section 115 of the Securities and Exchange Act B.E. 2535 (“SEA”). Therefore, Mr. Frearick shall be liable for the

wishes to trade or exchange digital assets to be able to enter into an agreement or match the order. Additionally, Binance solicited the Thai public and investors to use its services via its website and

profit decrease in Q2/2014 of 168.79 million baht which significantly fell from the operating net profit of Q1/2014 by 84.60 percent (a decrease of 1,096.04 million baht). He obtained the material non