the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. The inquiry official sent the case back
period specified by the notification of the Capital Market Supervisory Board resulted from the instruction or the failure to give instruction which is duly required to be performed. This case is in the
reviewed financial statements for Q2/2023 to the SEC Office within the period specified by the notification of the Capital Market Board, resulted from the instruction or the failure to give instruction which
/E transactions in the KC accounting records, causing inaccurate and false preparation of such records. This case is under consideration of the public prosecutor. SEC Act S.281/2 paragraph 2
/E transactions in the KC accounting records, causing inaccurate and false preparation of such records. This case is under consideration of the public prosecutor. SEC Act S.281/2 paragraph 2 in
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 30 เมษายน 2566 สอบทานล่าสุด 30 เมษายน 2566
ชั่วคราว หรือถูกสำนักงานสั่งพักการดำเนินธุรกิจ No records to display. ปรับปรุงล่าสุด 13 มกราคม 2568 สอบทานล่าสุด 13 มกราคม 2568
records related to the custody of client fund issued by the custodial bank, and records related to the custody of client digital assets issued by digital asset custodians permitted to provide such services
securities trading decisions on behalf of the client as well as failed to keep complete records of the client's securities trade order instructions; while {B} and {C} failed to keep complete records of many
13. The securities company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which