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
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
upon the SEC Office’s request. I allow and will facilitate the SEC Office’s inspection of audit quality of my own work and audit quality control system of the audit firm, both before and throughout the
investment advice, was negligent in supervising work control and compliance at the branch, which consequently led to inappropriate investment as far as the client's demand and risk profile were concerned. The
Exchange Act B.E.2535 . Preliminary version: incomplete and/or being reviewedinformation. Revised version: new report submitted by the reporter to replace theold one. Chain principle: indirect acquisition of
group percentage after theacquisition/disposition and the person(s) under Section 258 of the Securities and Exchange Act B.E.2535 . Preliminary version: incomplete and/or being reviewedinformation
: incomplete and/or being reviewedinformation. Revised version: new report submitted by the reporter to replace theold one. Chain principle: indirect acquisition of stocks by the reporter, triggering a tender