to order or act resulting in Beyond’s failure to put in place sufficient and effective risk management system which violated Section 113 of the Securities and Exchange Act B.E. 2535 amended by the
Securities and Exchange Act B.E. 2535 resulted from the instruction or the failure to give instruction which is a duty required to be performed. SEC Act S.300 in conjunction with 33 Settlement Committee
Bangkok, June 4, 2015 - The SEC suspended {A} and {B}, an equity investment consultant and a capital market investment consultant respectively, for failure to keep complete record of securities
paragraph 1 of the SEA. As the accused committed the several distinct and different offences, the Court inflicted the penalty prescribed for each offence as follows: (1) For a count of failure to submit the
securities trading account and failure to keep complete record of the securities trading orders.Following the report of Capital Nomura Securities PLC, the SEC further probed into the case and found that {A
Bangkok, November 17, 2014 ?The SEC revoked the approval of Nakul Chaiyanil, a former fund manager for ten years for failure to perform his duty with honesty in relation to management of 101 Montri
testimony to competent officer - - 1 1 - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 43 80 29 137 111 218 32
or a failure to order or act according to the duties of Mr. Khophong. Bualuang Securities failed to comply with the rules, conditions, and procedures specified in the notifications of the Capital
shareholders? meeting. TSF later filed those reviewed financial statements (reissue) which reviewed by an auditor who appointed by the shareholders? meeting on August 11, 2017. There for TSF failure to prepare
Mr. Sanguan Sanguanraksak Mr. Sanguan Sanguanraksak, a managing director responsible for the operation of L.V. Technology Public Company Limited (LVT), shall be liable for LVT?s failure to prepare