investment. It must provide an appropriate warning to ensure investors are alerted to potential risks. The marketing campaigns must not induce or accelerate investment decision making with a lack of
word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the benefit of customers. DAB Act S.30 and 31 Settlement Committee Meeting No. 4/2026
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant
SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.
statements, certain information appeared in the interview was different from that disclosed in the registration statement (filing form). The differences include the information on gross profit indicated at 10
bank accounts used to deposit customer cash were under the company's name without the word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the
May 2559 Mr. Nattawut, in collaboration with Mr. Winai, purchased TFG’s share by using inside information concerning TFG’s operating results for the first quarter of 2559, which indicated a substantial
information on revenues from advisory services for related persons, even though certain information indicated that the revenue may not exist. Such revenue, if not exist, will bring down the company's recorded
submitted the special audit report in November 2017, which indicated that EARTH had used the advanced payments, the payment for the right to purchase goods and other assets in exchange for the mining property