frequency of board meetings, for which the minutes of meeting had been submitted to the SEC competent officers during the inspections, but the meetings did not actually take place; (3) had lacked fit and
), submitted orders for clients to trade shares of Unique Engineering and Construction PCL., (UNIQ) in a manner that inflated the share prices. The order were split into a number of orders despite it could be
submitted the client?s securities trading orders via the internet from the IP address of Krungsri Securities for a certain period of time. Wasana admitted and explained that her client was not keen on
securities. In addition, it was found that a client of {B} asked her to make trading decision on his behalf while {C} submitted the client's securities trading orders via the internet from the IP address of
expiry date of the Passport submitted as a supporting document for the application). Wish to apply for change of information in SEC Account, having submitted Passport No. …………………………………………………… as a
, periods and conditions: (1) reports on financial and non-financial pursuant to Clause 7 (1) shall be prepared and submitted to the SEC Office in accordance with the rules provided under Part 2 and within
submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in
in quality control system 1. 2. Details of other auditors approved by the SEC Office of.......persons. (Additional details can be submitted as attachments.) Details of the partners or equivalent in the
or submitted to home regulator as required by law or regulations of the home regulator’s jurisdiction. In this regard, the CIS operator shall certify in writing that such information is similar to that