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’ impact on the business operation of
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
granted as well as signing cheques which were handed to four borrowers. Her abovementioned failure was considered a contravention of Sections 89/7 and 89/24 of the Securities and Exchange Commission Act B.E
financial statements for the year 2013 and the annual registration statement for the year 2013 (Form 56-1) to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification
advice and management for the clients. The aforesaid person jointly operated securities business without obtaining license from the SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992
, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is in the process of inquiry by the inquiry official. SEC Act S.90
SEC, in violation of the Securities and Exchange Act B.E. 2535 (1992) Section 90 and subject to sanctions under Section 289. This case is under consideration of the public prosecutor. SEC Act S.90
securities business 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. This case is under
Securities and Exchange Act of 1992. This case is in the process of inquiry by the prosecutor official. SEC Act S.90 Criminal Complaint Filed with an Inquiry Official Dated 02/03/2016