technology to private fund management in analysis, selection and screening of securities trading signals, did not comply with the rules, conditions and procedures announced by the Capital Market Supervisory

selection of debt instruments before investing in the debt instruments. SEC Act S.283 paragraph 1 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 10/2020 Dated 13/03/2020

, conditions, and procedures specified in the notifications of the Capital Market Advisory Board by by failing to put in place a sufficient and effective system for the analysis and selection of debt instruments

Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.33 Settlement Committee Meeting No. 8/2023 Settlement Committee Order No. 70/2023 Dated 21/09/2023

newly issued securities in the category of warrant (Employee Stock Option Program : ESOP) without having obtained an approval from the SEC Office. SEC Act S.300 in conjunction with 33 Settlement

February 17, 2014. The financial statements did not comply with the Accounting Standard. That is, the company realized the gain from selling the capital investment in its subsidiary and booked in the

Profit Gain Asia Ltd. Between April 10 to 28 August , 2014 Profit Gain Asia Ltd. (“PFAL”) , fail to reported the disposal of Natural Park Public Company (“N-PARK”) which changed its name to U City

million baht in comparison with the net loss of 30.80 million baht in the previous quarter. Mr. Paiboon used such material non-public information to gain unfair benefits over other persons by virtue of his

which significantly increased from previous year Baht 270.61 million, an increase of 220.78 percent. Mr. Ratanachai used such material non-public information to gain unfair benefits over other persons by

front run his client’s futures trading orders. Such trading orders made through Ms.Nanthanat Srisawangwong at another broker for his personal gain. This action caused financial damages to his clients