sufficient and effective systems of operation, control and risk management. SEC Act S.113 Settlement Committee Meeting No. 5/2020 Settlement Committee Order No. 26/2020 Dated 02/09/2020

in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for product screening in order to offer for sale of debt instruments. SEC Act

AEC Securities Public Company Limited. Between May 16, 2019 and September 21, 2020, AEC Securities Public Company Limited., as a securities broker, failed to put in place a sufficient and effective

structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023

Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to put in place sufficient and effective system for selling and buying

including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.113 Criminal

sufficient personnel to be able to operate the investment advisory service business efficiently. This case is in the process of inquiry by the inquiry official. SEC Act S.115 Criminal Complaint Filed with

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective fund management

, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system

underwriter failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for