violators of the SEA.{A}'s actions were considered as serious performance deficiency by willfully imparting false statement and concealing information which should have been stated in the documents filed with

into account risks of client and technical competency and level of relevant experience of audit staff. Meanwhile, deficiency was found on engagement performance (EP) with lowest average score, resulted

Bangkok, March 2, 2015 The SEC suspended {X1} Company and its financial advisor supervisor, {A}, for deficiency performance in case of a company filing an application, registration statement and

31 December Additional (Discount) paid in capital: Share discount (10,163) (10,163) Premium on capital reduction 206 206 Retained earnings (deficit) Appropriated: Legal reserve 764 764 Unappropriated

0% Warrants 14,050 14,050 0% Additional (Discount) paid in capital: Share discount (10,163,276) (10,163,276) 0% Premium on capital reduction 206,307 206,307 0% Retained earnings (deficit) Appropriated

(116,361,266,965) (10,163,275,674) 91% Premium on capital reduction 206,307,094 206,307,094 0% Retained earnings (deficit) Appropriated: Legal reserve 763,976,886 763,976,886 0% Unappropriated (22,253,294,756

the termination of membership. Deficiency of the termination of membership for any reasons or PVD members’ failure to receive cheques have brought about soaring unclaimed money, which the AMCs are

discussing with her client to fine-tune the deficit portfolio. At the end of the trading day, she notified her client via mobile telephone after working hours.Making securities trading decisions on behalf of

management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make

amount to be reduced, the management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining