cohabiting couple holding securities and the changes to such holdings (Form 59-2) to the SEC office within the period specified in the notification of SEC. However Mr. Khanist failed to prepared and disclosed
couple holding securities and the changes to such holdings (Form 59-2) to the SEC office within the period specified in the notification of SEC. However Miss Inthira failed to prepared and disclosed the
prepare and submit On-Going Capital Requirement (CAR report) of November 2022 within DECEMBER 8, 2022 However, FL prepared and submitted the On-Going Capital Requirement (CAR report) of November 2022 to the
, 2023 However, FL prepared and submitted the Complaint report of Q2/2023 to the SEC Office on JULY 18, 2023 later than the period specified by the law. On March 11, 2025, the Criminal Fining Committee
Securities Brokerage : Investment Units, had duties to prepare and submit the financial statement for first period of six months of the year 2023 within October 2, 2023 However, FL prepared and submitted the
compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 12, 2023. However, FL reported the discontinuation of such a person on May 16, 2023. On
compliance unit (Head of Compliance) to the SEC through a system prepared on the website of the SEC Office within May 13, 2023. However, FL reported the appointment of such a person on March 7, 2023. On
Group Lease Public Company Limited Group Lease Public Company Limited, a securities issuer, prepared and submitted the inaccurate audited financial statements for the year 2020 and the management
, and the six-month periods ended 30 June 2021 within 31 May 2021, 31 May 2021, and 30 September 2021, respectively. However, JCKD prepared and submitted the financial statement for the year 2020, the key
period from November 12, 2020 to May 2, 2024 as the case may be. However, Mr. Chuang, Chih Yao prepared and disclosed the report (Form 59) to the SEC office during the period from November 16, 2020 to May