TMB Asset Management Company Limited Between March 28, 2017 and December 9, 2021 TMB Asset Management Company Limited, a fund management company, failed to comply with the rules, conditions and

Mr. Somjin Sornpaisarn Mr. Somjin Sornpaisarn, a former Managing Director, Chief Investment Officer and Chief Investment Committee who is responsible for the operation of TMB Asset Management Company

TMB Asset Management Company Limited Between November 1, 2019 and November 30, 2021 TMB Asset Management Company Limited, a fund management company, failed to comply with the rules, conditions and

TMB Leasing Company Limited TMB Leasing Company Limited operated derivatives broker businesses in Thailand without proper licenses granted violating Section 16 of the Derivatives Act B.E.2546 (2003

Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to perform her duty resulting in AEC?s violation of section 97 SEC Act S.283 Settlement

Mrs. Chatkaew Gajaseni During September 3, 2018 - November 29, 2018, Mrs. Chatkaew Gajaseni, a director and executive director of PTG Energy Public Company Limited (PTG) changed her holding of PTG

("TRUBB") changed his holding of TRUBB securities for 20 times but failed to prepare and disclose all reports on changes in his holding to the SEC Office within the period specified in the

Engineering and Construction Public Company Limited (STEC) changed his holding of STEC securities but failed to prepare and disclose report on change in his holding to the SEC Office within the period

Limited ("TRUBB") changed her holding of TRUBB securities for 3 times but failed to prepare and disclose all reports on changes in her holding to the SEC Office within the period specified in the

Mrs. Phenchan Yongvongphaiboon Between July 14, 2017 and September 4, 2017, Mrs. Phenchan Yongvongphaiboon, director and vice managing president of Asia Metal Public Limited Company (?AMC?) changed