. Instead, Mr. Bhusana offered to buy KE shares directly from the seller at the price of 20 million baht. Later, he arranged for his associates to sell the shares to a third party at the significantly higher
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
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
agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited (MODERN) , the major shareholder of TPAC, (Securities Seller) and the Lohia family Group
purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited (MODERN) ,the major shareholder of TPAC, (Securities Seller) and the Lohia family
sale and purchase agreement of Thai Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited ,the major shareholder of TPAC, (Securities Seller) and the Lohia family
Plaspac Public Company Limited (TPAC) securities among Modernform Group Public Company Limited (MODERN) ,the major shareholder of TPAC, (Securities Seller) and the Lohia family Group (Securities Purchasers
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