word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the benefit of customers. DAB Act S.30 and 31 Settlement Committee Meeting No. 4/2026
SEC, prepare and keep account of such advances. The item and amount of asset as indicated in the account under the first and second paragraph are presumed to be correct, unless proven otherwise.
statements, certain information appeared in the interview was different from that disclosed in the registration statement (filing form). The differences include the information on gross profit indicated at 10
bank accounts used to deposit customer cash were under the company's name without the word “for customer”. Accordingly, it was not clearly indicated that the accounts are held by the company for the
May 2559 Mr. Nattawut, in collaboration with Mr. Winai, purchased TFG’s share by using inside information concerning TFG’s operating results for the first quarter of 2559, which indicated a substantial
information on revenues from advisory services for related persons, even though certain information indicated that the revenue may not exist. Such revenue, if not exist, will bring down the company's recorded
submitted the special audit report in November 2017, which indicated that EARTH had used the advanced payments, the payment for the right to purchase goods and other assets in exchange for the mining property
clients' assets. In case of {A}, the SEC received a complaint filed by a client of KGI Securities (Thailand) Plc. which indicated that {A} had made unauthorized trading decision causing damage to the
protection with accurate and sufficient information for investment decision and build confidence in quality of financial reports of businesses in capital market. The inspection results indicated that most