), 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

XSPRING ASSET MANAGEMENT COMPANY LIMITED|Super Savings Fund : SSF | Offering Date : 07/07/2020 - 17/07/2020

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

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

also set the “AI-Powered Organization” strategy to drive the use of AI for enhancing regulatory efficiency and sustainable law enforcement. The SEC also set up an AI taskforce to drive systematic and

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

. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of