2015 and 2016 were restated because fictitious revenue had been recorded. The SEC reviewed Patamavan’s engagement performance as NMG’s auditor and found that she failed to obtain reliable evidence that
important information and business secrets of the company without approval. He later resigned from the company. SEC has considered that Pusit failed to perform duties with loyalty* and therefore suspended
Economic Crime Suppression Division (ECSD) on the ground of performing duties dishonestly when he failed to disclose IFEC default on its bills of exchange. In addition, the SEC has instructed IFEC directors
act.?As the Executive Chairman of Apple Wealth Securities, {A} was involved in the company's misconduct and failed to perform supervisory duties. He approved the opening of trading accounts and the
Securities (Thailand) Plc., and revealed non-compliant performance of {C}, for not taping clients' trading orders. Following referral from the Stock Exchange of Thailand indicating that {A} and {B} failed to
instructed the company to amend the annual financial statements for the year 2015 and the interim financial statements for the third quarter of 2016, which had failed to present correct information on the
, relevant impacts and recovery plan, including the reason why the company failed to make necessary preparation in advance to avoid such default. EARTH's board of directors must clarify to the SEC and disclose
Section 243 (1) in conjunction with Section 244 and Section 243 (2) of the SEA and Section 83 of the Penal Code. Lalana, however, failed to pay the fine as ordered by the Settlement Committee. Therefore
via internet trading accounts of the clients. In case of {B}, the SEC found that he failed to record a large number of clients' securities trading orders. {B} admitted to his employer that he took those
into the case and found that {A} submitted trading orders for EIC securities on the client's behalf, during the period of tender offer launched by such client. In so doing, {A} failed to inform the