office which is in breach of the Securities and Exchange Act B.E. 2535, resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in

failure to prepare and submit the accurate annual report for the year 2020 (Form 56-2) in accordance with the notification of the Capital Market Supervisory Board resulted from the instructions or the

instructions or the failure to give instructions which is a duty required to be performed. Later, TTCL submitted the rectified annual updated information statement for the year 2020 (Form 56-1) on 28 February

Board resulted from the instructions or the failure to give instructions which is a duty required to be performed. Later, APURE submitted the rectified the Form 56-1 One Report for the year 2022 on

period by the notification of the Securities and Exchange Commission resulted from the instructions or the failure to give instructions which is a duty required to be performed. SEC Act S.300 in

securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many

;EA"). His duty was to oversee and ensure that EA’s offering for sale of securities complied with the law. However, Mr. Amorn failed to issue instructions or perform the necessary duties required

Kasikorn Securities Plc., the SEC probed into the case and found that {A} failed to keep several records of investment advice and client's trade order instructions. Besides, communication records between him

to clients’ predetermined instructions as advised by securities brokers. ** The securities analysis and investment advisory to design a portfolio advisory that shows

from insufficient involvement of engagement partners and engagement quality control reviewers (EQCRs) and incomplete audit manuals as required by quality control standard. Findings by respective average