, appropriate audit evidence regarding the failure to record allowance for uncollectible refunds of advance payments for goods and omit to estimate the recoverable amount of the investment in the subsidiaries to

for the approval of the warrants and the underlying shares. The failure to disclose such information resulted in non-compliance with the said Notification.   Since the meeting notice may have incomplete

act caused by an external factor, {A}’s submission of false documents to the bank in order to help the client was deemed a failure to perform duties or provide services with loyalty pursuant to the

true owners of such right suffered damage; however, Krungthai Zmico has already returned the right to the IPO allocation to the clients. Niparporn’s misconduct against investors’ assets is deemed failure

coverage lapsed.  Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform duties or provide services with loyalty in accordance with the Notification of the Capital Market

equity, (2) the additional capital to ensure business continuity, and (3) the additional capital to cover potential liability risks due to professional negligence. Actions in case of failure to meet the

Bangkok, 19 October 2017, The SEC has notified Group Lease Public Company Limited (GL) that failure to correct its financial statements promptly may be deemed a misconduct in violation of the

covers draft operational procedures rules in case of failure to meet the requirement. The draft amendments aim to (1) support intermediaries in maintaining sufficient capital suitable for the nature of

Bangkok, 2 November 2017 - The SEC has suspended the approval for a capital market investment consultant, {A}, for 12 months due to his failure to perform duties carefully and professionally. He was

refused to cooperate with other IFEC directors to facilitate the board of directors’ meeting by making available a meeting venue. Such misconduct was therefore deemed as the failure to perform his duty