the Securities and Exchange Act. In addition, He failed to order or act his duty resulting in Solaris Asset Management Co., Ltd. violation of section 117 of the Securities and Exchange Act. Solaris
statements for the third quarter of 2016, which had failed to present correct information on the liabilities incurred from the bills of exchange issuance. The initial deadline for submitting the special audit
According to the SEC inspection findings, Asia Wealth Securities Company Limited had failed to maintain the minimum net capital (NC) as required by the SEC regulations since 14 November 2022 and
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