but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed derivatives business. This case is under consideration of the public
Financial (NZ) Ltd. had been registered with the SEC as derivatives dealer but with permission to provide services only to institutional investors. Its public solicitation was therefore considered unlicensed
Taokaenoi Food & Marketing Public Company Limited Taokaenoi Food & Marketing Public Company Limited ("TKN"), a securities issuer, had the duty to prepare and submit the Annual
Food Capitals Public Company Limited Food Capitals Public Company Limited (FC), failed to prepare and submit the audited financial statements for the year 2016 ended December 31, 2016 to the SEC
EARTH's requests for extension of the repayment period, which led to EARTH's lack of liquidity. Subsequently, on 2 June 2017, Mr. Phipat granted permission to a brokerage firm to sell EARTH
Kuang Pei San Food Products Public Company Limited Kuang Pei San Food Products Public Company Limited (“POMPUI”), a securities issuer, had duty to prepare and submit the annual report for the year
Mr. Tarakorn Angpubate Mr. Tarakorn Angpubate, President responsible for the operation of Food Capital Public Company Limited (FC), was liable for FC’s failure to prepare and submit the audited
Mr. Itthipat Peeradechapan Mr. Itthipat Peeradechapan, Chief Executive Officer who is responsible for the operation of Taokaenoi Food & Marketing Public Company Limited (TKN), did not order or
misconduct above is deemed an execution of concealed transactions, asset misappropriation, permission of false accounting transactions and preparation of incorrect accounting records. In addition, he informed
Mr. Surin Tohtubtiang Mr. Surin Tohtubtiang, Chief Executive Officer of Kuang Pei San Food Products Public Company Limited (“POMPUI”), who is responsible for the operation of POMPUI, had duty to