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

bonds to the general public pursuant to Part 2, the Thai government agencies that have received the approval shall have the duty to also comply with the Notification of the Capital Market Supervisory

' 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

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

which is more than THB 20 million or 3 percent of NTA of the Company persuant to Notification on Connected Transactions, which falls into the same obligation as 2014 Receiving Financial Assistance

. 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

, Permission by Registration and All Applications for Obtaining Approval to the SEC Office on the date when the complete and accurate application together with the evidentiary documentation have been submitted