the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within a specified period. SEC Act S.Section 57(6) Settlement
another person to be outsource in analysis and investment decision, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory Board. SEC Act S.133 paragraph 2
Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares. SEC Act S
receive necessary and useful information for using the intermediary?s service or for making a decision of investment in foreign mutual fund. SEC Act S.113 Settlement Committee Meeting No. 3/2020
information for the decision-making on investment or using the service such as the clients’ assets investment scheme, the risks of ZipUp+ program and the conflict of interest together with relationship among
misleading information in such a manner that was likely to have an effect on the price of share of GL or the decision making on the investment of share of GL . This case is in the process of inquiry by the
to prepare and submit the incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the
the decision-making on investment or the change in the securities price of the company within specified period. SEC Act S.300 Settlement Committee Meeting No. 2/2018 Settlement Committee Order No. 10
failure to prepare and submit the defaults in Bill of Exchange, incident which affects or is likely to affect the rights and interests of securities holders or the decision-making on investment or the
likely to affect the rights and interests of securities holders or the decision-making on investment or the change in the securities price of the company within the period specified by the notification of