Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration

Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP

or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer

was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the

transactions in the wallet. In this regard, although he was notified by the competent officer to comply with such orders, he delivered only partial or incomplete information. In addition, he delayed the delivery

for the approval of the warrants and the underlying shares. The failure to disclose such information resulted in non-compliance with the said Notification.   Since the meeting notice may have incomplete

related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales

business operators providing bond securities business services to examine and ensure that the ultimate beneficiary owners (UBO) register for their authentication with the BOT before providing the

required to examine the issue raised by the auditor whether the questionable transactions of land sales and purchases were in line with the normal course of business operation.Concurrently, the SEC

receiving the application together with the accurate and complete evidentiary documentation according to the Licensing Manual for the Public, the SEC Office shall examine the facts according to the procedures