statements to materially contain false information and raised doubts concerning the internal control system, spending of B/E money, and the making of accounting records.The SEC has therefore issued the order
DERIVATIVES ACT DERIVATIVES ACT B.E. 2546 (2003) SECTION 9. The SEC shall have the power and duty to formulate policies, to promote and develop, as well as to supervise, matters concerning
recorded such behavior for future reference if breach of duty is found. The said acts are in violation of Clause 20(3) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 Re
' securities trading orders. All of them admitted that the unrecorded orders were taken via mobile phone. The SEC therefore suspended them from duty as approved investment consultant for one month. For {F} and
TTCL Public Company Limited TTCL Public Company Limited (“TTCL”) had a duty to prepare and submit the accurate financial statement for Q1 year 2020 in accordance with the notification of the
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
trustee and the REIT manager shall perform their duties with the scope of authority, duty and responsibility as stated in the relevant particulars of the authority and duty of the trustee and the REIT
. 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