Asset Management Public Company Limited as a fund management company failed to manage Krung Thai CLMVT Equity Fund (KT-CLMVT) strictly in http://market.sec.or.th/public/idisc/en/Enforce Settlement

with an Inquiry Official Dated 17/09/2019 K.C. Property Public Company Limited K.C. Property Public Company Limited, failed to prepare and submit (1) the reviewed financial statements for Q2/ 2018, and

{G}. The SEC found from the routine inspection that {A} frequently failed to record her clients' derivatives trading orders while {B}, {C}, {D}, and {E} frequently failed to record their clients

public offerings of two issuing companies concerning filing of application for approval for public offering of shares, registration statement, and draft prospectus (filing).Akekajak failed to perform due

on Digital Asset Businesses B.E. 2561 (2018) (Emergency Decree), the SEC Board Meeting No. 5/2564 passed a resolution ordering Huobi to rectify its work systems, but Huobi failed to do so within

Nawarat Patakarn Public Company Limited Nawarat Patakarn Public Company Limited (“NWR”), a securities issuer, failed to prepare and submit the audited financial statements for the year 2015 to the

of Thailand (the SET), failed to prepare and submit the audited financial statements for the year 2015 ended December 31, 2015 to the SEC Office and the SET within March 31, 2016. However, the audited

, which considered that such operation did not reach the standards as a professional required to perform, and failed to deliver services in quality. DAB Act S.94 in conjunction with 30 Settlement

securities via his nominee's securities account but failed to prepare and disclose report on changing in his holding (Form 59-2) to the SEC Office within the period specified in the notification of the

, JCK prepared and submitted the key financial ratio of the year 2022 on 15 March 2023, which failed to prepare and submit financial statement within the period specified by the Notification of the