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
(JAS), by give a consent Mr. Pete in using his securities trading account to purchase Jasmine Telecom Systems Public Company Limited (JTS) shares by utilizing the inside information about The Q3/2016
Krungthai Asset Management Public Company Limited Krungthai Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in
misleading about financial condition, business operation, the price of securities statement related to 12 listed companies that are AEC Securities Public Company Limited ("AEC"), B.Grim Power Public
Meta Corporation Public Company Limited On 11 October, 2017 Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) offer for sale newly issued securities in the
Meta Corporation Public Company Limited On 7 March, 2018 Meta Corporation Public Company Limited (or Vintage Engineering Public Company Limited) offer for sale newly issued securities in the
AIA Company Limited AIA Company Limited , an intermediary provides services for selling and buying investment units through omnibus account, has to govern the service under the provisions being
FWD Life Insurance Public Company Limited FWD Life Insurance Public Company Limited, an intermediary provides services for selling and buying investment units through omnibus account, has to govern
K.C. Property Public Company Limited K.C. Property Public Company Limited, a listed company, failed to prepare and submit the audited financial statements for the year 2018 through the transmission
K.C. Property Public Company Limited K.C. Property Public Company Limited, a listed company, failed to prepare and submit the reviewed financial statements for Q1/2019 through the transmission system