found defects in the work performance of three branch managers at two branches, namely (1) {I}, who failed to exercise proper discretion in solving problems when detecting deceitful acts, and (2) {J} and

financial statements for the year 2014 as ordered earlier by the SEC in May 2015, but so far have failed to comply, and must submit the financial satements for the first, second and third quarters of 2015

because the subsidiary failed to set an allowance for doubtful accounts and had yet to improve the efficiency of its internal control with regard to the approval of invoice issuance, expenses, payments

determined that for five of the 10 tranches (i.e., A265A, A269A, A271A, A271B and A275A), the number of bondholders in attendance failed to meet the quorum requirements as stipulated in the bond terms and

13.00 hours, respectively. However, the meetings for SABUY254A, SABUY258A and SABUY263A bonds failed to achieve the required quorum under the terms and conditions of the bonds for certain agenda items

After STARK had failed to prepare and submit its financial statements for the year 2022 within the specified period as required by law, the SEC, by virtue of Section 58 of the SEA, instructed the

originally intended by the investors. Such wrongful acts incurred damages onto several clients, at an initial large sum of 74.8 million baht.  SEC has considered that Napasook failed to perform duties or

their misconduct in this case, SEC views that {A} and {B} both failed to perform duties or giving services with loyalty.* SEC has therefore suspended the approval as investment consultant for complex

investors to use its services, either via its website or Facebook Page: {X1}. On 5 April 2021, the SEC issued a warning letter requiring {X1} to submit a written response but {X1} failed to submit a response

of this amendment is to ensure that customer complaints are handled appropriately, especially in the case where the operator failed to comply with relevant regulations. It also aims to ensure that