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

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

") 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

), 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

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

Company Limited (a 100-percent subsidiary of IEC) through a contract with Energy System Engineering and Service Co., Ltd. (ESES), deemed under control of Mr. Bhusansa and Mr. Saran, for the construction of

;  - a bar from serving as a director or executive in a securities company between 08/07/2022 and 07/11/2022     - a reimbursement of investigative expenses in an