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
in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act
. In addition the purchase of EIC shares in the Stock Exchange of Thailand during effective tender offer was a purchased by means other than specified in the tender offer. SEC Act S.Section 247 and
(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
Mr. Akalarp Yimwilai Zipmex Company Limited ("Zipmex Thailand") provided Zipup/ZipUp+ services, which offer returns in the form of bonus reward for users of Z Wallet on the digital asset
with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for Know Your Customer and
the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place sufficient and effective system for managing private fund with
effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in
Mr.Thitiphat Thaveesin Mr.Thitiphat Thaveesin, Executive Vice President of Corporate Finance Solution/REIT Department, who is responsible for the operation of Daol Securities (Thailand) Public
Mr.Thitiphat Thaveesin Mr.Thitiphat Thaveesin, Executive Vice President of Corporate Finance Solution/REIT Department, who is responsible for the operation of Daol Securities (Thailand) Public