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
and 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
with the rules, conditions and 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
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
Mr. Kris Narongdej Mr. Kris Narongdej failed to comply with rules specified by Securities and Exchange Commission on January 21, 2014, Mr. Kris Narongdej acquired shares of NOBLE shares held by
New City Public Company Limited (“BTNC”) shares held by itself, and person under section 258 resulting in SIRATARN aggregate number of shares held by other persons exceeded trigger point at 50 percent
Boutique New City Public Company Limited (“BTNC”) shares held by herself, and person under section 258 resulting in her aggregate number of shares held by other person exceeded trigger point at 25 percent of
(Thailand) Public Company Limited (“SANKO”) shares held by itself, and person under section 258 resulting in TIP aggregate number of shares held by other persons exceeded trigger point at 25 percent of the
(SALEE) in a manner that inflated and stabilized the price of such securities in concealment to mislead the public to believe that the trading volumes were substantially high and the prices of SALEE