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
issued and allocated to existing shareholders for free that he obtained by virtue of his positions before such information became public on September 14, 2012. SEC Act S.241 Settlement Committee Meeting
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
BKI shareholders at the ratio of five existing shares to two dividend shares, on top of the normal dividend payment plan for the operating performance of 2013. This was material information that would
material facts that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right
should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right of 2 coal mines and
that should had been stated, according to the assessment report assigned by EARTH’s business rehabilitation planner (EY Corporate Advisory Services Company Limited), about the existing right of 2 coal
(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