), 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

investment consultant to take the said action. This led to an incomplete client analysis and inappropriate investment inconsistent with the client's demand and acceptable risk level. The SEC has suspended {E

offering information of each class of bonds, types of offering, risk levels, fact sheets, and relevant reports etc., to enable convenient access of the public and interested parties. The information can be

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

international standards such as UN SDGs. Additionally, fact sheets and prospectuses of SRI Funds are downloadable from the ESG Product Platform for the convenience of interested individuals.     The SEC

1.6 million sheets per year, accounting for 39 tons of carbon dioxide exhaustion. This paperless process could also save operating costs such as printout delivery, electricity and document storage by

electronically file an application through the OFAM system without having to submit hard copies to SEC. The move is expected to save 1.6 million sheets of paper per year, or equivalent to 39 tons of carbon

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