safeguard the interests of the clients who entrusted the management of their private funds, using knowledge and abilities comparable to professional practitioners. This case is in the process of inquiry by

UOB Capital Services Company Limited UOB Capital Services Company Limited ("UOBCS") formerly Citicorp Leasing (Thailand) Company Limited, a securities issuer, had a duty to prepare and

Capital Engineering Network Public Company Limited Capital Engineering Network Public Company Limited (CEN), a securities issuer, failed to submit the reviewed financial statements for Q1/2014 to the

CAPITAL ENGINEERING NETWORK PUBLIC COMPANY LIMITED Capital Engineering Network Public Company Limited (“CEN”), a securities issuer, had a duty to prepare and submit the accurate financial statement

CAPITAL ENGINEERING NETWORK PUBLIC COMPANY LIMITED Capital Engineering Network Public Company Limited (“CEN”), a securities issuer, had a duty to prepare and submit the accurate annual updated

CAPITAL ENGINEERING NETWORK PUBLIC COMPANY LIMITED Capital Engineering Network Public Company Limited (“CEN”), a securities issuer, had a duty to prepare and submit the accurate annual report for the

CAPITAL ENGINEERING NETWORK PUBLIC COMPANY LIMITED Capital Engineering Network Public Company Limited (“CEN”), a securities issuer, had a duty to prepare and submit the financial statement for the

CAPITAL ENGINEERING NETWORK PUBLIC COMPANY LIMITED Capital Engineering Network Public Company Limited (“CEN”), a securities issuer, had the duty to prepare and submit the Interim Management

NAKHONLUANG CAPITAL PUBLIC COMPANY LIMITED Nakhonluang Capital Public Company Limited (“NCAP”) had a duty to prepare and submit the key financial ratio for the year 2020 within 25 April 2021. However

notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020