certainty the adequacy of funding sources and submit the complete tender offer to the SEC as soon as possible. For this case, such tender offer is considered materially incorrect and the SEC will consider to

that the applicant had transferred all shares of such company to a third party despite various factors indicating that the transaction may not exist. This would lead to incorrect and incomplete

aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold

Makcharoen and Miss Paphawin Pinwatthana jointly acted colluded, or aided and abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements

misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed

with the law. However, Mr. Dusadee failed to order or act as required by his responsibilities, and is therefore liable for ALL’s disclosed incorrect information and made false statements or concealed

ณราคารับซื้อคืนหนวยลงทุนไมถูกตองแบบมีนัยสําคัญ (incorrect pricing) (ขอ 27) เหตุผล เนื่องจากเกณฑปจจบุันกําหนดวา เมื่อเกิดกรณี incorrect pricing ใหหยุดรับคําสั่ง (ขอ 27) จึงเห็นควรกําหนดเพิ่ม

documents in full according to the procedures specified in Clause 13 of the Licensing Manual. Remarks: ** If the application or evidentiary documentation is incorrect or incomplete and cannot be fixed or

incomplete or incorrect information to the investor and failing to give or disclose material information that may have affected the investor's decision making, {A} failed to perform duty with responsibility

, she informed her client of the submission of trading orders to rectify trading orders of another person sent through incorrect type of account. Also, {A} admitted that she received trading orders from