failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are

March 31, 2018 and March 31, 2017, the Company and its subsidiaries had a net profit of Baht 56.52 million or 17.17%. Universal Worldwide Transportation Limited holds 80% of the total number of ordinary

company. Purchase of 80% of Universal Common Shares of Universal Worldwide Transportation Limited. Page 2 of 5 The Company must recognize revenue. Entering into the financial statements. As a result

to approve the acquisition of 80,000 ordinary shares of Universal Worldwide Transportation Limited (“UWT”), with a par value of 10 Hong Kong Dollar, which equal to 80% of total ordinary shares of UWT

Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining

. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of

Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration

Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP

or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer

was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the