on Digital Asset Businesses B.E. 2561 (2018) (Emergency Decree), the SEC Board Meeting No. 5/2564 passed a resolution ordering Huobi to rectify its work systems, but Huobi failed to do so within
delay.According to the auditor?s report, accounting policies were improperly used in the annual financial statements for the year 2014, whereby Smart Traffic Co., Ltd., an EIC affiliate, failed to record allowance
probed into Wiroj case and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client
and found that he failed to inform the rules of volatile stock such as stock's risk and settlement duties to the client before submission of purchase order. As a result, the client had to settle the
Vanatsavadee failed to perform duties or give services honestly. In addition, there was a reason to believe that she had failed to perform duties or provide services properly* and concealed wrongful acts while
the securities trading reports for their customers by using trading order form (Form F8) despite those trading orders were not made in trading room. In addition, they failed to completely record a
financial officer, failed to report to the Stock Exchange of Thailand (SET) and the SEC that the company had been filed for bankruptcy by its creditors on 8 May 2017 and later became under the Court's
and {A} failed to perform duties of independent financial advisor for the IPO applicant with due care, causing deficiencies in the following matters: (1) deficient due diligence on a transaction of
in fact the company had already been listed and its shares were being on Suspension Trading (SP) sign. Moreover, he failed to give relevant documents to the client before the client decided to invest
} and {B}, two securities investment consultants, and {D}, a capital market investment consultant, failed to completely record a client's securities trading orders. Furthermore, the second investigation