Mr. Abinash Majhi Mr. Abinash Majhi, as managing director responsible for the operation of Datamat PLC (DTM), failed to supervise DTM to prepare and submit the financial statements for the six-month
supervise TUCC to prepare the reviewed financial statements for Q3/2015 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
Mr. Yongyuth Ngamkaiwan Mr. Yongyuth Ngamkaiwan, the representative of Thai Unique Coil Center Public Company Limited (TUCC), responsible for the operation of TUCC, failed to supervise TUCC to
supervise TUCC to prepare the reviewed financial statements for Q3/2017 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
Mr. Songrit Butrngam Mr. Songrit Butrngam, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial
Mr. Paiwan Butrsa Mr. Paiwan Butrsa, Director responsible for the operation of SMC Power Public Company Limited (“SMC”) failed to supervise SMC to prepare and submit (1) the audited financial
to supervise IEC to prepare and submit the reviewed financial statements for Q2/2016 and Q3/2016 to the SEC and the SET within the specified period. This case is in the process of inquiry by the
supervise TUCC to prepare the reviewed financial statements for Q3/2016 to the SEC Office and the Stock Exchange of Thailand within the period specified in the notification. The statute of limitations ran out
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
) B. Direct&Supervise&Review B Direction, supervision and review responsibilities: Firm's Reference /Guidance Notes Description 1 Has the firm established policies and procedures for direction and