failure to maintain net capital (NC) together with the reasons of such incident to the SEC office within the period specified in the notification of the Securities and Exchange Commission. DAB Act S.94
Analysis :"MD&A" through the transmission system of the Stock Exchange of Thailand within the period specified in the notification as follows : (1) MD&A for 2020 (2) MD&A MD&A for
with the rules, conditions and procedures as specified in the Notification of the Office of the Securities and Exchange Commission by failing to conduct an assessment of information technology systems
report) through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to order or act in
financial statements for Q1/2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board, due to his failure to
prepare and submit the audited financial statements for the year 2020 and the management discussion and analysis for the year 2020 through the transmission system of the Stock Exchange of Thailand as
2024 through the transmission system of the Stock Exchange of Thailand within the period specified in the notification of Capital Market Supervisory Board. This case is in the process of inquiry by the
liable for APEX’s failure to prepare and submit the financial report for the first half of the fiscal year of 2024 together with an interim management discussion and analysis to the Stock Exchange of
financial statements for Q1/2018 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The public prosecutor issued a prosecution order against the accused
without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992), Section 90 and subject to sanctions under Section 289, and the Derivatives Act B.E. 2546 (2003