compliance unit (Head of Compliance) However, KWI appoint the highest level responsible person in the compliance unit on 5 September 2023. SEC Act S.113 Settlement Committee Meeting No. 3/2024 Settlement
Thaicredit Retail Bank Public Company Limited On 1 March, 2017 Thaicredit Retail Bank Public Company Limited (“TCR”) offer for sale newly issued securities in the category of warrant (Employee Stock
Asphere Innovations Public Company Limited Asphere Innovations Public Company Limited (“AS”) offered newly issued securities to directors or employees which is not in compliance with rules
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
Industrial and Commercial Bank of China (Thai) Public Company Limited Industrial and Commercial Bank of China (Thai) Public Company Limited (“ICBC”) had duty to prepare and submit the key financial
Thaicredit Retail Bank Public Company Limited Thaicredit Retail Bank Public Company Limited (“TCR”) failed to prepare and submit the report on the results of the Exercise of warrant to the SEC
Thaicredit Retail Bank Public Company Limited Thaicredit Retail Bank Public Company Limited (“TCR”) failed to prepare and submit the result of the private placement warrant sale report to the SEC
, failed to comply with the rules, conditions, and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to put in place a sufficient and effective compliance system
causing the coin can only trade on Bitkub’s exchange and experiencing a very unusual price adjustment. Since Bitkub’s compliance system failed to supervise the product department to monitor the properties
for IEC’s failure to prepare and submit an accurate annual report for the year (From 56-2) for the year 2018 in compliance with the rules specified in the notification of the Capital Market Supervisory