regard, {C} admitted giving advice and taking the client?s trade orders via mobile phone.The SEC found {D} case during its routine inspection that showed her failure to record some of her advice and

Detailed Rules on Maintenance of Capital of Investment Advisors and Derivatives Advisors and Provisions in Case of Failure to Maintain Capital

redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax

Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Yanakorn was liable to the civil sanctions

Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Poonsak was liable to the civil sanctions

Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In

, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management

anti-corruption measures, e.g., refusal to pay bribery, no involvement in corruptive attempts and sanctions against those who do, as well as communication and staff training with respect to anti

;), shall be liable for STARK’s failure to prepare and submit the reviewed financial statements for Q1/2023 to the Stock Exchange of Thailand within the period specified in the notification of the Capital

POLAR’s failure to prepare and submit the financial reports through the transmission system within the period specified in the notification as follows : (1) the reviewed financial statements for Q3/2019 (2