prepared incorrect accounts with intention to deceive others about those fraudulent actions, violated Sections 307, 308, 311 in conjunction with Section 313, and Section 312(2)(3) of the Securities and

financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received. (c) having an application rejected, or an approval for an offer for sale of

able to protect shareholders’ rights by allowing any person to receive financial gain beyond what should be received normally or by causing the company to lose a benefit that should have been received

given to human capital development for the benefit of national development. The SEC will also support the allocation of more funds to businesses that prioritize sustainability and benefits to the national

platforms. This collaborative effort aims to prevent further harm to the public. Since the launch of the Investment Scam Hotline Initiative on 6 November 2023, the SEC has been notified of fraudulent

Activity Report 2016_En INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 INDEPENDENT AUDIT INSPECTION ACTIVITIES REPORT 2016 Executive Summary...................02 Quality Assurance Review Panel................04 Activities for Enhancing Audit Quality...................05 Summary of Audit Inspection Results A. Firm Level...................08 B. Engagement Level...........................28 Root Cause Analysis...................42 Framework and Focuses in 2017...................44 Essential St...

Market Advisory Board violated section 113 of the Securities and Exchange Act B.E. 2535. Bualuang Securities used 3 accounts of asset management companies for the benefit of other customer. SEC Act S

, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to a sufficient and effective compliance system which may cause serious damage to the benefit of the

increase due to the fluctuation of raw material price that remain high during our financial year. The direction of raw material price started to decline at the end of financial year and expects to benefit

trading orders, trading securities on behalf of client and making trading decisions for benefit of client without the client?s orders.Following a complaint against {A} lodged by a client of KGI Securities