to the Office of the Securities and Exchange Commission, and by failing to ensure that the group of offerors were made aware of their duties and responsibilities to deliver a complete Form 247-4 to the

day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2016 – 2018. Since the accused pled guilty, the Court

accused to pay a fine of Baht 1,431,000 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial

294,500 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2018. Since

Complaint Filed with an Inquiry Official Dated 17/04/2018 making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s

Bangkok, January 25, 2011 - The SEC has suspended four investor contacts for using clients? accounts to trade securities for other persons, interfering with clients assets, and failing to use

that such applicants whose performance met the quality criteria but who had been declined due to affiliation with audit firms failing to meet the requirement of four auditors at a minimum. The

Earlier, the Civil Penalty Consideration Committee resolved to apply civil sanctions against Mr. A for obstructing and failing to set up a board of directors meeting and a shareholders meeting to

public announcement of a business takeover but failing to meet certain pre-conditions for making a tender offer for securities of such business because of uncontrollable external factors will be exempted

in Capital Market Industry dated September 15, 2010. The SEC therefore revealed his inappropriate behavior for failing to keep records of investment advice and clients' trade order instructions. In