. Later, on 12 June 2018, the SEC file a criminal complaint against 11 directors of EARTH for making false entries or failing to enter any material statement in documents regarding the increased debt.*In
, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions. Even though the relationship between clients and employees was found out, the
) surveillance system to prevent conflicts of interest: the system was found to be inefficient and failing to detect if its employees use their related persons to open a trading account and execute transactions
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c) allow its business to be conducted with
) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business undertaking; and; (c
borrowing from subsidiaries at the amount of Baht 214 million for construction and procurement of machinery. b. As at 31 December 2017, the Company was failing to comply with the bank’s requirements therefore
available for viewing or submission to the SEC Office for inspection upon request. Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the
Office for inspection upon request. 6 Chapter 2 Actions in Case of Failure by Intermediary to Maintain Capital Clause 12 An intermediary failing to maintain the capital in accordance with the Notification