of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

related to requested procedure, development or alter procedure, examining procedure and transfer operational system procedure. [A] o Providing a procedure or compliance guideline for emergency change and

(Translation) Re: BOD.SET 009/2020 May 12, 2020 Subject: Clarification on the Change in operating results for the three month period ended 31 March 2020 over 20% compared with the same period of the

(Translation) Re: BOD.SET 011/2020 August 11, 2020 Subject: Clarification on the Change in operating results for the six-month period ended 30 June 2020 over 20% compared with the same period of the

Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining

. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of

Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration

Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP

or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer

was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the