for public offerings. The issuers must prepare financial statements in accordance with financial reporting standards while having no record of failure to file with the SEC their financial statements or

failure to record the client's securities trading orders. They were RHB OSK Securities (Thailand) Plc. (OSK Securities) employees.From a routine inspection of RHB OSK Securities (Thailand) Plc, the SEC

the SEC, in materiality.  The said actions were also failure to perform the duties as professionals with prudence, due care, knowledge, capability and experience and considered as prohibited

evidence to clarify decrease in the production yield. The AIE auditor also expressed a qualified opinion on the statement of the financial position for the year 2015 because of failure to determine whether

offering of newly issued securities during 2011. His actions were deemed as failure to comply with the auditing standards and the Notification of the Office of the Securities and Exchange Commission No

without contacting or giving advice to a client. The suspension resulted from his failure to perform duties or not providing services honestly.Following a report on client's complaint filed by Siam

Bangkok, February 20, 2015 - The SEC suspended {A}, a securities investment consultant of Siam Commercial Bank Plc. (SCB), for failure to provide complete information or advice. In this case, he

requirements to avoid possible disputes or frauds committed upon their assets, said SEC Deputy Secretary-General Vasant Thienhom.   Failure to keep complete and correct records of clients? orders are deemed non

. ในกรณีที่บุคคลภายนอกฝ่าฝืนหรือไม่ปฏิบัติตามหลักเกณฑ์ที่เกี่ยวข้อง บลจ. อาจมีความรับผิดฐานไม่ทำหน้าที่กำกับดูแล (failure to supervise) โดยบุคคลภายนอกจะไม่มีความรับผิดตาม ม. 124/1 เนื่องจาก เป็นเกณฑ์

Exchange Act, which was a result of a failure to order or act of POLAR's directors, namely: Mr. Yanakorn Warakunrak and Mr. Poonsak Chumchuay. Therefore, Mr. Yanakorn was liable to the civil sanctions