recorded such behavior for future reference if breach of duty is found.  The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re

SEC Office under this Notification shall be in accordance with the following criteria except when granted a waiver from the SEC Office as deemed necessary and appropriate: (1) the person having duty

' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and

Tapaco Public Company Limited Tapaco Public Company Limited (“TAPACO”) had a duty to prepare and submit the financial statement for the year 2022 within 3 January 2023. However, TAPACO prepared and

All Inspire Development Company Limited All Inspire Development Company Limited (“ALL”) had duty to prepare and submit financial statement for Q3 year 2023 within 14 November 2023 which is the period

TTCL Public Company Limited TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the

Altitude Development Company Limited Altitude Development Company Limited (“ALT”) had duty to prepare and submit financial statement and key financial ratio for year 2023 and within 1 April 2023

. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading

succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal

Home Regulator’s jurisdiction ( issued by Home Regulator ) [ ] 3. Evidence on the appointment of a brokerage firm to perform duty as local intermediary in Thailand ( issued by CIS Operator ) [ ] 4