failure to prepare and submit the accurate annual report for the year 2020 (Form 56-2) in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the
instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified annual updated information statement for the year 2020 (Form 56-1) on 28 February
Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, APURE submitted the rectified the Form 56-1 One Report for the year 2022 on
period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
incident shall be liable for Bitazza’s violation of the law by conducting a digital asset exchange without a license together with Bitazza International Limited resulted from his instructions or actions
) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A
trading orders. They are employees of Asia Wealth Securities Co., Ltd. The SEC found that {A} did not keep complete record of a number of a client? securities trading orders. She admitted that she received
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts