of {X1} Company Limited, the SEC found deficiencies in the company's KYC/CDD system. Also its client activity oversight was insufficient to effectively verify the identity of clients or their
processed. Instead, he falsified documents to deceive the clients that their orders had been executed. He also deceived the clients that the Automated Trading System (ATS) failed to function and thus asked
reporting system of firms in the capital market. Furthermore, the quality control system of the audit firms greatly contributes to the quality performance of auditors. The SEC now requires that auditors in
SEC Secretary-General Ruenvadee Suwanmongkol said: “The SEC gives priority to the audit quality control system of audit firms in the capital market, and regularly inspects and issues inspection
made falsifying document deceiving this clients that the orders had been executed and claimed that the Automated Trading System (ATS) faced problems. He also deceived his clients to withdraw their
Type of securities : Real Estate Investment Trust (REIT) | Effective Date : 08/12/2014 | Close Selling Date : 00/00/0000
Gains System : Unlicensed digital asset business (Disclosure Date : 09/08/2019)
ประเภทหลักทรัพย์ : ทรัสต์เพื่อการลงทุนในอสังหาริมทรัพย์ (REIT) | วันที่มีผลใช้บังคับ : 08/12/2557 | วันที่ปิดการขาย : 00/00/0000
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