), 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 Securities and Exchange Commission (SEC) participated in a panel discussion on the topic “Exposing Scams: Staying Ahead of Scammers 5.0” and presented an investor education exhibition booth as
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
and Looking Ahead ซึ่งเป็นเวทีสำหรับหน่วยงานกำกับดูแลและผู้ประกอบธุรกิจในการร่วมกันแลกเปลี่ยนแนวคิดและแนวปฏิบัติในช่วงที่เศรษฐกิจเริ่มฟื้นตัวจากวิกฤติ COVID-19 และการกำกับดูแลที่สำคัญในอนาคต ผ่านระบบการ
number of directors in order to move ahead with solving its problems which include indebtedness and inability to submit the company’s financial statements and appoint the auditor. IFEC’s future business
guarantee of returns, and that unit redemption ahead of the target date set in the investment scheme is not allowed must be clearly communicated to investors.In addition, advertisement based on past
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