deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets
to the share price but not yet publicly disclosed. After Mr. Itthipat (CEO and director) and Mr. Nutchatpong (Managing Director – Business Support), knew or possessed such inside information, Mr
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In
)) Net Liquid Capital Rule (Section 97) Executives / Personnel Major Shareholders Engagement in Related Businesses Internal operation of Securities Companies Auditors Accounting and Financial Statements