Market Supervisory Board by managing an advertisement of foreign mutual fund in the inappropriate manner of content, proportion of content and form of presentation in order that a client would be able to
Continuity system in order to be able to provide services to a client and offer for sale of investment units. SEC Act S.113 Settlement Committee Meeting No. 5/2021 Settlement Committee Order No. 40/2021
of exchange of a company for private funds which did not analyze the ability to pay debt and did not ask for the consent of the client. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 3
effective system for protecting the client?s asset that are (1) failing to segregate assets under its custody as assets of clients in accordance with the notification and (2) investing assets of clients in
Thai Canal Rich Company Limited Thai Canal Rich Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. SEC Act S.34
Thai Technician Professional Company Limited Thai Technician Professional Company Limited offer to sell newly issued securities in the category of convertible bonds without approval from the SEC
Thai Canal Rich Company Limited Thai Canal Rich Company Limited offered for sale of newly issued shares in the form of general or to the public without approval from the SEC office. SEC Act S
Thai Niche Company Limited Thai Niche Company Limited aided and abetted the executive of Thai Unique Coil Center Public Company Limited (TUCC) : (1) Mr. Yongyuth Ngamkaiwan, Director and CEO, (2
Thai Unique Coil Center Public Company Limited Thai Unique Coil Center Public Company Limited, failed to prepare and submit the reviewed financial statements for Q3/2015 to the SEC and the SET within
Shun Thai Rubber Gloves Industry Public Company Limited Shun Thai Rubber Gloves Industry Public Company Limited, a securities issuer, prepared and submitted the inaccurate annual report for the year