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
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
Sasavat Sirison Between October 8, 2019 and November 4, 2019. Mr. Sasavat Sirison’s wife, changed her Sahakol Equipment Public Company Limited (“SQ”) securities via her nominee's securities
equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above were
purchase equipment from abroad and/or purchase software programs using in EA's solar power plant construction project through the aforementioned two subsidiaries. The acts of 2 persons mentioned above
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