;), shall be liable for TSF failure to prepare and submit the financial reports to SEC Office within the period specified in the notification as follows : (1) the annual registration statement (Form 56-1

Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide one fourth of

failure to prepare and submit (1) the financial statement for the year 2021 (2) the annual registration statement (Form 56-1 One Report) for the year 2021 (3) the reviewed financial statements for Q1/2022

Bangkok, January 21, 2013 - The SEC imposed a one-month suspension on {A}, a capital market investment consultant of OSK Securities (Thailand) PLC, for not taping her investment advice and client's

Bangkok, November 29, 2013 - The SEC imposed a one-month suspension of approval on {A}, a securities investment consultant of Phatra Securities Plc., effective from November 29, 2013.This follows a

failure to prepare and submit the accurate the annual registration statement / annual report (Form 56-1 One Report) for the year 2022 in accordance with the notification of the Capital Market Supervisory

capital market professional, in violation of the Notification of Capital Market Supervisory Board concerning personnel in the capital market.*  The SEC therefore suspended her from duty as the approved

/2555. Besides, {C} failed to record the client's securities trading orders in violation of Clause 20(3) of the Notification No. TorLorThor. 3/2555. In this case, the SEC suspended {B} for one month and

SABUY’s failure to prepare and submit 56-1 One Report of the year 2022 within the period specified by the Notification of the Capital Market Supervisory Board resulted from the instructions or the failure

submit the annual registration statement for the year/annual report for the year 2022 (Form 56-1 One Report) within the period specified by the notification of the Capital Market Supervisory Board resulted