Miss Penkae Katekaew Miss Penkae Katekaew, then holding position as Bliss-Tel Public Company Limited (“BLISS”) investment board members having power to make securities investment decision and
Miss Tan Lethi Miss Tan Lethi, then holding position as Bliss-Tel Public Company Limited (“BLISS”) investment board members having power to make securities investment decision and approval on behalf
in high volume and its price was changed. As a result, the trading of TAPAC shares contradicted normal market conditions. 09/11/2017 agreed to comply with civil penalties determined by the Civil
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
(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
) in concealment to mislead the public to believe that the trading volumes were substantially high and the price of SST securities changed which was inconsistent with the normal market conditions. In