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

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in

another person’s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT’s net profit of the year 2012

) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million

Profit Gain Asia Ltd. Between April 10 to 28 August , 2014 Profit Gain Asia Ltd. (“PFAL”) , fail to reported the disposal of Natural Park Public Company (“N-PARK”) which changed its name to U City

Renaissance Fund Management LTD Renaissance Fund Management LTD failed to prepare the balance sheet and the profit and loss account for the first six months of the financial year 2019 by posted in a

profit in the last three years. SEC Act S.241 Settlement Committee Meeting No. 4/2013 Settlement Committee Order No. 35/2013 Dated 20/06/2013

's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht