to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back

trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain

Bangkok, October 17, 2013 ? The SEC extended the submission date of the special audit report of Millcon Steel Plc. (MILL) until no later than October 31, 2013. Earlier, the SEC had ordered MILL to

will be  submitted to the Ministry of Finance as public revenue. In any case, NEWS cancelled the private placement afterward.

related parties and asset control management. Submission of special audit report will become due on December 9, 2011. THL has later requested for extension of submission while THL has not appointed any

and then inform the client afterward. {A} admitted that her client had authorized her to help adjust the client's investment portfolio to cut losses in the account. She also confirmed the trading with

annual report did not comply with the notification of the Capital Market Supervisory Board. The rectified information was later submitted to the SEC Office on June 2, 2016. SEC Act S.56 and 199

Capital Market Supervisory Board. However, TTCL prepared and submitted the inaccurate financial statement for Q1 year 2020. Later, TTCL submitted the rectified financial statement for Q1 year on 28 February

, 2024, to the SEC Office later than the period specified by the SEC Office Notification, on one occasion. SEC Act S.Section 57(6) Settlement Committee Meeting No. 3/2025 Settlement Committee Order No