Altitude Development Company Limited Altitude Development Company Limited (“ALT”) had duty to prepare and submit financial statement and key financial ratio for year 2023 and within 1 April 2023
. The SEC therefore suspended them from duty as approved investment consultant for one month. For {C}, the SEC received a report from her employer that she failed to record some of her client trading
succeed without having efficient internal units comprising (1) company secretary having duty to monitor the company and its executives to comply with laws and keeping important information, (2) internal
same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an
Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an operating system which
remuneration, tax penalty, and accounts receivable previously recorded as stock under consignment in 2011 and subsequently re-arranged to sale transactions in 2012. The SEC, therefore, has instructed TUCC to
November 11, 2014 Charin, then PAP independent director, arranged a sale of 147,000 PAP shares in which he had a stake held in the trading account of another person. In so doing, he took advantage of the non
subsequently re-arranged to sale transactions in 2012.The SEC, therefore, has instructed TUCC to cooperate with the auditor to supply all necessary information and evidence and to rectify the financial
consignment in 2011 and subsequently re-arranged to sale transactions in 2012. Subsequently, TUCC requested an extension of the above deadline for submitting the rectified and reviewed financial statements of
against RAM documents arranged for RAM by arranging for RAM to sell its acquired shares of Kiatnakin Bank Public Company Limited (“KKP”) to his related persons at a price significantly lower than the market