on asset allocation, equity funds or alternative funds, excluding tax incentive funds; (3) Disclosing fund facts and warnings on crypto asset exposure clearly for investors’ information. 3
additional facts, the SEC Office shall notify the securities company in writing as well as stating the grounds or the period of time required for such consideration, as the case may be. In cases where the
trusted and secure system within 30 days from the deadline under (1) and must report each procedural step of its action for the SEC’s information without delay. (2) By virtue of Section 35
Administrative Sanction Clause 6. When the SEC Office has gathered the facts and preliminarily considered that any person has the behavior that should be subject to the administrative sanction, the following
usable, consequently necessitating sales below cost. However, the auditor was unable to verify this claim and found no supporting evidence to confirm the stated facts. After considering in conjunction
KWI to conduct a special audit on the matters above, with specific examination of facts over the past three years. To ensure auditor independence, this special audit must be performed by one of the Big
statements with intent to mislead other persons concerning the facts stated in BLISS financial statements.The SEC found that Chakkit, then BLISS executive, imparted the statements in the company?s Q2/2013, Q3
inconsistent with the facts to deceive other persons. He committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million
damage to International Engineering Public Company Limited (IEC) and arranged or allowed preparation of the company's accounting records to be inaccurate and inconsistent with the facts to deceive
the facts to deceive other persons. Mr. Bhusana Committed a fraud by misappropriating IEC assets through a purchase transaction of 75% of IEC Sakaeo 1 Co., Ltd. (SK1) shares at the amount of 345 million