the client’s instruction to cut loss when the client’s derivatives trading account hit a one-million baht loss. As a result of his negligence, the client’s account was closed and the client suffered

compliance profession. The joint meeting took place on 1 December 2023.

prepare and submit the accurate financial statement for the year 2019 through the transmission system as prescribed by the Stock Exchange of Thailand resulted from the instruction or the failure to give

annual registration statement for the year 2019 (Form 56-1) through the transmission system within the period specified in the notification resulted from the instruction or the failure to give instruction

prepare and submit the key financial ratio report for the year 2020 through the transmission system of the SEC Office within the period specified in the notification resulted from the instruction or the

NMG?s failure to prepare and submit the financial statements for the year 2018 through the transmission system within the period specified in the notification resulted from the instruction or the

instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.300 Settlement Committee Meeting No. 4/2021 Settlement Committee Order No. 28/2021 Dated 18/08/2021

instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.300 in conjunction with 56(4) Settlement Committee Meeting No. 2/2021 Settlement Committee Order No. 13/2021

NMG?s failure to prepare and submit the annual report for the year 2018 (Form 56-2) through the transmission system within the period specified in the notification resulted from the instruction or the

NMG?s failure to prepare and submit the reviewed financial statements for Q1/2019 through the transmission system within the period specified in the notification resulted from the instruction or the