, the person shall submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering
submit an application for approval to the SEC Office together with accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public: (1) offering innovative financial
DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
the information on the clients’ assets under its custody. The exchange is also required to show evidence on the investments of the clients’ digital assets that had been deposited with ZipUp via various
applicant. In case the application is submitted by an authorized person and the evidentiary documentation is incorrect or incomplete, the authorized person must show a written authorization from the applicant
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.
prepare and submit the accurate financial statement for the year 2019 through the transmission system as prescribed by the Stock Exchange of Thailand resulted from the instruction or the failure to give
Miss Manee Khemthong Between December 25, 2018 and May 22, 2020, Miss Manee Khemthong, at the time incident an Finance & Accounting Director responsible for submitting an accurate and truthful