investment consultant for six months and one month, respectively, starting from December 25, 2015.  The SEC's further inspection has revealed several defective core work systems of AEC, especially the Know

work systems of AEC, especially the Know-Your-Customer/Customer Due Diligence: KYC/CDD system, causing the company to be fined by the Settlement Committee at the amount of 1,101,000 baht. Moreover, the

Miss Manee Khemthong Between December 21, 2018 and June 1, 2020, Miss Manee Khemthong, at the time incident an Finance & Accounting Director responsible for calculated the net capital of AEC

AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and

report of the net capital to the office of Securities and Exchange Commission of AEC Securities Public Company Limited (?AEC?) (Changed the name to Beyond Securities Public Company Limited) failed to

/2021 0 5.2349 5.2349   246012852108-1 BYD Miss Jarunun Asavadumrongchai Disposition Stock 10.0131 1.1604 8.8527 18/08/2021 10.0131 1.1604 8.8527   246012632108-1 AEC Miss Jarunun Asavadumrongchai

Acquisition/ Disposition Transaction Date % Group of Held Before Acquisition/ Disposition 2 % Group of Held Acquisition/ Disposition 2 % Group of Held After Acquisition/ Disposition 2 Remark 3 File No AEC Miss

10.0131 1.1604 8.8527   246012632108-1 AEC นางสาว จารุนันท์ อัศวดำรงชัย ได้มา หุ้น 4.4857 6.262 10.7477 16/07/2564 4.4857 6.262 10.7477   246012192107-1 AEC นาย ลุชัย ภุขันอนันต์ จำหน่าย หุ้น 10.4711 6.262

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

AEC Securities Public Company Limited Between December 21, 2018 and June 1, 2020 AEC Securities Public Company Limited , as a securities and derivatives broker, failed to maintain the net capital