used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement Committee Meeting No. 8/2025
assets The client’s assets are used for the benefit of the Asia Wealth, In addition, the securities broker failed to the inefficient system for maintaining customers’ assets. SEC Act S.283 Settlement
. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in IHL’s delayed submission of the report. SEC Act S.300 in
THL’s failure to prepare and submit the annual financial statements for the year 2021 within the period specified by the Capital Market Supervisory Board. This liability arises from his failure to issue
Supervisory Board. This liability arises from her failure to issue orders or perform the duties required to ensure compliance with the specified regulations, resulting in JCT’s delayed submission of the report
THL’s failure to prepare and submit the Management’s Discussion and Analysis (MD&A) for the year 2021 within the period specified by the Capital Market Supervisory Board. This liability arises from
liability arises from his failure to issue orders or perform the duties required to ensure compliance with the specified requirements, resulting in THL’s delayed submission of the Form 56-1 One Report for the
liability of the 2nd defendant and the 3rd defendant to jointly pay such civil penalty; (2) The 2nd defendant and the 3rd defendant shall personally pay the civil penalty in the amount of 2,000,000 Baht for