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
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
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
was unable to complete the construction of fence and animal shelter and move all the animals in Jungle World’s land into the Company’s nearby land. Later on, the Company’s Board of Directors’ meeting no
period of 1 year from September 1, 2017 until August 31, 2018 with the lease amount of THB 2,000,000 per year since the Company was unable to complete the construction of fence and animal shelter and move
damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational