. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures
Shun Thai Rubber Gloves Industry Public Company Limited Shun Thai Rubber Gloves Industry Public Company Limited, a securities issuer having the difference net profits between the audited financial
Shun Thai Rubber Gloves Industry Public Company Limited Shun Thai Rubber Gloves Industry Public Company Limited, a securities issuer having the difference incomes and net losses between the reviewed
concerning the business operation of PLE net profit in Q1/2010 of 184.10 million baht which increased 182.74% from PLE net loss of 223.23 million baht for the same period of 2009 and increased 145.6% from the
the other. The selling was based on material non-public information concerning PAP’s operating net loss of 29.57 million baht significantly fell from Q3/2013 with the net loss of 114.57 million baht, a
such a way as to take advantage of other persons by using adverse material non-public information concerning LVT net loss in Q1/2010 of 37.65 million baht which was significantly different from LVT net
truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 2/2021 Settlement Committee Order No. 15/2021 Dated 09/06/2021
truthful report of the net capital to the office of Securities and Exchange Commission. SEC Act S.109 Settlement Committee Meeting No. 1/2023 Settlement Committee Order No. 9/2023 Dated 13/01/2023
Public Company Limited in such a way as to take advantage of other persons by using material non-public information concerning the decreasing operating performance of MLINK in Q2/2011 recording a net loss
of EMC Public Company Limited (EMC-W3) through securities trading account of another person. The selling was based on material non-public information concerning EMC’s operating net loss of 1,179.10