sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020
Pracha Maleenont Between April 10 to 28 August , 2014 Mr. Pracha Maleenont fail to reported the disposal of Natural Park Public Company (“N-PARK”) , which changed its name to U City Public Company
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
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board that is no system to control short position transaction underlying with SET50 index
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of
), misappropriated PPPC's money to invest in and pay off debts of the companies over which he had full control for his own benefit, causing damage to PPPC's property, violating Section 307, 308 & 311
") control system which is the persons not appointed from Finnomena or obtained an approval from SEC Office performed IC’s duty. SEC Act S.113 Settlement Committee Meeting No. 6/2023 Settlement
order and control STARK to issue rectified financial statement, but he neglected his duties and consented to the falsification of STARK and its subsidiaries’ financial statements. Moreover, Mr. Prakorn
control the risk to customers' assets. The operation shall be obtained the approval from the SEC prior to the operation, but Zipmex did not do so. The act of Zipmex did not operate other than the