Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the
submitted such document on 30 January 2023, which failed to prepare and submit financial statement within the period specified by the notification of the Capital Market Supervisory Board. SEC Act S.56(2
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by managing an advertisement about commission-free trading services without end period that cause investors or
and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116 Settlement Committee
specified by the Notification of the Capital Market Supervisory Board. However, the financial statement for Q3 year 2023 was later submitted on 9 January 2024. SEC Act S.56(1) Settlement Committee Meeting
, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. SEC Act S.109 Settlement Committee Meeting No. 9
with the rules, conditions and procedures as specified in the notification by failing to put in place an effective debenture underwriting system to categorize High Net Worth investors. SEC Act S.116
supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
, 2014) and the financial statements for Q1/2015 to the SEC and the SET within the specified period. This case is in the process of inquiry by the inquiry official. SEC Act S.300 Criminal Complaint