offence under Section 240 of the Securities and Exchange Act of 1992 (SEA), which prohibits any person from disseminating rumors that may cause other persons to believe that the price of any securities will

, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or

systems which may cause serious damage to the benefit of the people. SEC Act S.133 paragraph 1 and 133 paragraph 2 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13

which may cause serious damage to the benefit of the people. SEC Act S.117 133 paragraph 2 and 136 Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 8/2020 Dated 13/03/2020

Asia Wealth Securities Public Company Limited Between June 4, 2020 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, engaged in an act which may cause damage or

Mr. Komen Niyomvanich In 2022, Mr. Komen Niyomvanich colluded with Miss Monsicha Ounpipat in a manner that is likely to cause a disadvantage to the mutual fund. Mr. Komen, a fund manager, possessed

and major shareholder of WHA, disseminate news about the negotiation of purchase deal with other listed company by giving interview to The Press which may cause any other person to understand that the

KTB Securities (Thailand) Public Company Limited Between December 16, 2016 and January 31, 2019 KTB Securities (Thailand) Public Company Limited as a securities broker engaged in act which may cause

, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to a sufficient and effective compliance system which may cause serious damage to the benefit of the

;) failed to order or act duty resulting in KTBST engaged in act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the