), 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
account the public comments gathered from the previous hearing whereby the calculation of the fees on Thai government bond dealing activities would be revised to reduce the burden on bond dealers and
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
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
suggestions gathered therefrom, and studied further details before proposing the current draft amendments to digital asset business regulations.The consultation paper is available at https://www.sec.or.th/TH
opening an investment account cross the industry, to be applicable for all types of investment products.* The draft regulations take into account the comments and suggestions gathered from the previous
approximately 1 million baht per year. This public consultation takes into account the comments and suggestions gathered from the previous hearings in August and September this year – the majority of which were