Bangkok, January 18, 2012 - The SEC has suspended 13 investor contacts and reprimanded 18 others for not recording their advice given to clients and failing to provide evidence of complete and

procedures as specified in the notification. In this regard, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the

, Bitazza failed to provide the management and operational data recording system by failing to present appropriate loan process and agreements to the SEC office. DAB Act S.94 in conjunction with 30

ประกอบการพิจารณา นอกจากนี้ ยังเป็นครั้งแรกที่ ก.ล.ต. ใช้การเขียนภาพสรุปเนื้อหา (visual recording) ให้เข้าใจง่าย ซึ่งจะช่วยให้ผู้บริหารและพนักงาน ก.ล.ต. มีความเข้าใจในแนวทางและทิศทางการทำงาน เพื่อร่วมกัน

the time of the misconduct from 2015 to 2017 holding the positions of director and executive of NMG – made a joint decision to approve, order and arrange a recording of false advertising income in the

revenue in Q2 of this year. ▪ The increasing of the cost of consulting service and the administrative expenses in Q2/2019 come mainly from recording of employee benefit of those who worked for a continuous

, falsifying documents and recording false accounting information. The SEC later issued a freezing order against Wichai?s assets for 180 days to prevent him from removing or disposing the assets. The order would

time with high trading volumes. {A} admitted that the client allowed her to make trading decision under the pre-determined value. After trading, she notified her client via recording telephone.The client

) Plc., for not recording the securities trading orders and inappropriate submission of trading order form (F8). From a routine inspection of UOB Kay Hian Securities (Thailand) Plc, the SEC found that {A

of 1,500,000 baht.At present, BLISS had already rectified the aforesaid financial statements by recording such revenues as other incomes.