for IEC’s failure to prepare and submit an accurate annual update information statement (“Form 56-1) for the year 2018 in compliance with the rules specified in the notification of the Capital Market
for IEC’s failure to prepare and submit the reviewed financial statements for Q1/2019 through the transmission system within the period specified by the Capital Market Supervisory Board resulted from
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to maintain the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to put in place a sufficient and effective systems of operation, control and risk management of derivatives broker which violated section 113 of
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to comply with the rules of the Capital Market Supervisory Board when DBS failed to maintain the net capital which violated section 141 of the
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to calculate the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange
(Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to submit an accurate and truthful report of the net capital to the office of Securities and Exchange Commission which violated section 109 of
Securities (Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to calculate the net capital (NC) in accordance with the rules, conditions and procedures of the Notification of the Securities and
Securities (Thailand) Co.,Ltd. (“DBS”), shall be liable for DBS’s failure to submit an accurate and truthful report of the net capital to the office of Securities and Exchange Commission which violated section
Limited failure to prepare and submit the crowdfunding debentures sale report to the SEC Office within the period specified by the SEC resulted from the instruction or the failure to give instruction which