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

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

Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock

Mrs. Shanya Pengpunpat Mrs. Shanya Pengpunpat assisted or facilitated Mr. Win Udomrachtavanich, Mr. Ratachai Teratanavat and Mr. Vijchu Chantatub to manipulate the stock price and trade volume of

Mr. Bee Taechaubol Mr. Bee Taechaubol making the tender offer of securities of Electronics Industry Public Company Limited (EIC) purchased 1,017,500 shares of EIC in the Stock Exchange of Thailand at