notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
notification of the Capital Market Supervisory Board by failing to prepare and file the report of net capital calculation within the specified period. SEC Act S.109 paragraph 1 Settlement Committee Meeting No
and submit the reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 in conjunction with 56(1) Settlement Committee Meeting No
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
2017 to the SEC Office and the Stock Exchange of Thailand within February 28, 2018 as specified by the notification of the Capital Market Supervisory Board. The audited financial statements were later
2017 (Form 56-1, 2017) to the SEC Office and the Stock Exchange of Thailand within April 2, 2018 as specified by the notification of the Capital Market Supervisory Board. The annual statement was later
Supervisory Board. The rectified financial statements were later filed on November 14, 2019. SEC Act S.56(4) Settlement Committee Meeting No. 2/2020 Settlement Committee Order No. 6/2020 Dated 13/03/2020
underwriter failed to comply with the rules, conditions and procedures as specified in the notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective system for
reviewed financial statements for Q1/2017 within the period specified by the Capital Market Supervisory Board. Mr.Kitisan Mookdee failed to comply with the order of the Settlement Committee, the SEC
failed to prepare and disclose report on change in her holding to the SEC Office within the period specified in the notification of the Capital Market Supervisory Board. Mrs. Chantip later filed the report