and receive allocated shares for patrons of such companies. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.311, Section 315 and Section 89/7 in conjunction

allocated shares for patrons of such companies. The public prosecutor issued a non-prosecution order. The case was deemed final. SEC Act S.311, Section 315 and Section 89/7 in conjunction with Section 86

Group Public Company Limited (TAKUNI) and CCN-Tech Public Company Limited (CCN) securities, used nominee accounts to subscribe and receive allocated shares for patrons of such companies. Such conduct was

specified in the notification. In this regard, Coins TH distributed advertising materials promoting its products without the clear and visible cautionary statements on such ads. DAB Act S.30 Settlement

deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned

deficiencies in CL's system for overseeing the outsourcing of an assigned freelancer for introducing customer list. CL failed to supervise the performance of the freelancer in accordance with the assigned

PHILLIP Securities (Thailand) Public Company Limited Between June 7, 2021 and November 21, 2023, PHILLIP Securities (Thailand) Public Company Limited, a private fund management company, assigned

Jitta Wealth Asset Mannagement C Between March 1, 2023 and May 11, 2023, Jitta Wealth Asset Mannagement Co.,Ltd, a fund management company, it has assigned person who are not person in the capital

bank account to receive transfers of the total sale money of KC’s bill of exchange (B/E) to be further distributed to other persons. This case is under consideration of the public prosecutor. SEC

qualify for rewards. The campaign was to urge and influence customer decisions inappropriately. In addition, Coins TH distributed the advertising material of such campaign without the clear and visible