results showed the net earnings of 14.25 million Baht, which was a significant increase compared to the Q3/2014. 15/09/2017 agreed to comply with civil penalties determined by the Civil Penalty

earnings, which was a significant increase compared to the annual financial statement of 2014. 25/08/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :

3,858,100 BIG shares by utilizing the non-public information he accessed by virtue of his position. Such information was the annual financial statement of 2015 operating results showed the net earnings, which

Krungthai XSpring Securities Co., Ltd. Krungthai XSpring Securities Co., Ltd. (KTX) offered for sale newly issued securities in the category of of debt securities to high-net-worth investors on a

procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee Meeting No. 4

sale newly issued securities in the category of of debt securities to high-net-worth investors on a program basis without providing its securities for credit rating prior to the offer for sale of the

another person’s securities trading account in such a way as to take advantage of other persons by using material non-public information relating to the performance of IT. IT’s net profit of the year 2012

) through another person’s securities trading account. The buying was based on material non-public information concerning ESTAR’s net profit at the end of year 2013. The net profit was Baht 148.04 million

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

Renaissance Fund Management LTD Renaissance Fund Management LTD failed to prepare the balance sheet and the profit and loss account for the first six months of the financial year 2019 by posted in a