. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
The International Engineering Public Company Limited The International Engineering Public Company Limited (“IEC”) has failed to submit the reviewed financial statement for Q1/2017 to the SEC and the
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
Management?), failed to order or act his duty resulting in Asia Wealth Asset Management violation of section 113 of the Securities and Exchange Act B.E. 2535. Asia Wealth Asset Management failed to comply
Mrs. Apirati Chairat Between September 7, 2017 and December 1, 2018; Mrs. Apirati Chairat, managing directer of Asia Wealth Asset Management Company Limited (?Asia Wealth Asset Management?), failed
Mr. Jeremy Lechemere King Between December 12, 2016 and July 1, 2019, Mr. Jeremy Lechemere King, chief executive officer of Siam Knight Fund Management Securities Co.,Ltd. (?SKFM?), failed to order
Thai Unique Coil Center Public Company Limited Thai Unique Coil Center Public Company Limited, failed to prepare and submit (1) the audited financial statements for the year 2017, (2) the annual
Mr. Ongart Thumrongsakunvong Mr. Ongart Thumrongsakunvong failed to make a timely report of the acquisition or disposal of shares of Interhides Public Company Limited (IHL). Between August 28, 2006
Mr. Ongart Thumrongsakunvong Mr. Ongart Thumrongsakunvong failed to make a timely tender offer for the purchase of all securities of Interhides Public Company Limited (IHL). On September 29, 2006, he
K-TECH Construction Public Company Limited K-TECH Construction Public Company Limited failed to prepare and submit (1) the audited financial statements for the year 2018, (2) the annual registration