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
well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under
maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under Clause 2, the
maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under Clause 2, the
fair, efficient and transparent; and the reduction of systemic risk.3 Quality and integrity of the credit rating process CRAs should endeavour to issue opinions that help reduce the asymmetry of
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