Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Mr. Bhusana and Mr. Chanchai
Engineering Public Company Limited (IEC)'s accounting records to be inaccurate and inconsistent with the facts. In arranging for falsification of the IEC financial statements; Bhusana and Mr. Chanchai made
& Qualifications (Section 25) |- Business Conduct (Section 18) | - |- Licensed Companies | - |- Registered Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk
safekeeping of additional documentation of such business operations. The key points of the proposed amendments are as follows: (1) DA operators would be required to keep records related to the
without license. There is evidence of their illegal activities, such as records of investment advice rendering to clients, records of clients’ trading executions, details of clients’ trading transactions
that meet additional criteria. The draft revision aims to streamline the PO application procedures for the offeror who has no records of inappropriate corporate governance practices and whose shares are
three years, covering additional access control measures to include both user accounts (or non-administrator accounts) and privileged accounts, and maintaining incident records with root cause analysis
a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank account for receiving the B/E transfer
arrangement for KC to offer the 25 B/E issues at a value ranging from 25 to 150 million baht each, and then misappropriated the proceeds by counterfeiting the company’s meeting documents, jointly opening a bank
accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts