deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and
deemed as failure to inform the client of sufficient information which was material and relevant to the client's investment decision, in violation of Clause 20(2) of the Notification of Capital Market
Bangkok, January 7, 2015 - The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities PLC., for failure to keep complete record of the derivatives trading orders.From a
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
The auditor expressed a qualified opinion on COMAN’s interim financial statements for the second quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit evidence
smart contracts) to the outsourcee. However, the ICO portal must obtain approval from the SEC before outsourcing any tasks related to such due diligence. The SEC Board has also approved the proposal to
Electronic System by 2 December 2024. The auditor expressed a qualified opinion on COMAN’s interim financial statements for the second quarter of 2024 because the auditor was unable to obtain sufficient
value of 88 million baht. In this regard, Miss Orranan and Mr. Nugul failed to perform the duties with dishonest intent causing damage to TOPLINE or causing themselves or another person to obtain any