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
) 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
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
procedures as specified in the Notification of the Capital Market Supervisory Board by failing to supervise transactions that are considered conflicts of interest by investing in two of IPO securities for
, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board to supervise transactions that are considered conflicts of interest by investing in unrated and unlisted bill