payment and making false entries or failing to enter any material statement in the documents of POLAR. In addition, they attempt to dishonestly convert POLAR’s property to himself or a third party and act
day starting from the next day of prosecution date until the company so complies for failing to file the reviewed financial statements for Q3/2016. Since the defendant pleaded guilty, the Court reduced
day starting from the next day of prosecution date (June 20,2018) until the company so complies for failing to file the reviewed financial statements for Q2-Q3/2017. SEC Act S.56 and 199
client's order and failing to perform in accordance with the client's order.Following a client complaint report filed by Globlex Securities Company Limited, the SEC probed into the case and found that {A}'s
to the rules which allow the business operator failing to maintain NC to continue providing services to its customers by preparing and submitting a correction plan for maintenance of NC within 30 days
pay a fine of Baht 683,500 and a further fine of Baht 1,000 for each day starting from the next day of prosecution date until the company so complies for failing to file (1) the audited financial
prosecution date until the company so complies for failing to file (1) the audited financial statements for the year 2015, (2) the annual report for the year 2015 (Form 56-2, 2015) (3) the annual registration