), Sunshine International Co., Ltd., Aqua Corporation Co., Ltd., and Mrs. Chompis Bunnag on October 27, 2010 is deemed incomplete under SEC regulation. This is because the tender offer does not include material
worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities
, the total size of transactions does not exceed 15% of CPN
submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement
ecosystem to ensure that investors have sufficient knowledge and understanding of the subordinated perpetual bond by (1) revising the risk acknowledgment form for clearer and easier presentation including
auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has
failure to order or act according to the duties as aresult, between November 4, 2022 and May 18, 2023, Asia Wealth as a securities broker, incomplete separation of customer assets The client’s assets are
’ acknowledgment or consent. _________________________Notes:* At-The-Open order (ATO) is an order to buy or sell securities at the session’s opening price. Trading orders of this kind are sent during pre-open
Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining