the credit was not rated and found defects in consideration of important information or factors with respect to the issuer, and this affected its capability to repay the principal and pay interest

systems related to receiving and handling complaints, channels to communicate with customers as well as the number and ability of personnel for Bitkub to operate its business efficiently. DAB Act S.30

of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3

Mr. Eric Jordan or Mr. Eric Jack Jordan Mr. Eric Jordan or Mr. Eric Jack Jordan as director of Professional Portfolio International Ltd. (PPI) and personal capacity colluded with other alleged

Miss Panomporn Kasaprakorn Miss Panomporn Kasaprakorn, Executive Vice President (EVP) , Head of Treasury Department, who is responsible for the operation of KTBST Securities Public Company Limited

compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of

Mr. Veerapat Viriyakovitya Mr. Veerapat Viriyakovitya, Head of Finance and Accounting Department, who is responsible for the operation of Ngern Tid Lor Public Company Limited, shall be liable for

Mr. Thanya Kitchainukul Mr. Thanya Kitchainukul, Head of Credit Department, who is responsible for the operation of Ngern Tid Lor Public Company Limited, shall be liable for Ngern Tid Lor Public

compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. SEC