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
, conditions and procedures as specified in the notification of the Capital Market Supervisory Board. SEC Act S.35 Settlement Committee Meeting No. 1/2024 Settlement Committee Order No. 1/2024 Dated 30/01
submitted the inaccurate report on maintenance of capital for the period of July to December of 2021 and for the period of January to June of 2022 through the SEC Office. Later, the rectified report on
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market
prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the
Mr. Yannakorn Warakunrak Mr. Yannakorn Warakunrak, the Chief Executive Officer, responsible for the operation of the Polaris Capital Public Company Limited (“POLAR”), shall be liable for POLAR’s
Asia Capital Group Public Company Limited Asia Capital Group Public Company Limited (“ACAP”) prepared and submitted the inaccurate financial statement for the year 2016 to the SET and the SEC Office
Miss Sugunya Sukjaroenkraisri Miss Sugunya Sukjaroenkraisri, a Chief Executive Officer for the operation of Asia Capital Group Public Company Limited (“ACAP”), shall be liable for ACAP’s failure to