AJ Advance Technology Public Company Limited AJ Advance Technology Public Company Limited (?AJA?), a securities issuer, had duty to prepare and submit the financial statement for the year 2019 within
AJ Advance Technology Public Company Limited AJ Advance Technology Public Company Limited (?AJA?), a securities issuer, had duty to prepare and submit the management discussion & analysis (MD&
Advance Power Conversion Company Limited Advance Power Conversion Company Limited (“APCON”) had duties to prepare and submit a financial statement for the year 2021 through the transmission system
Advance Power Conversion Company Limited Advance Power Conversion Company Limited (“APCON”) had duties to prepare and submit a key financial ratio report for the year 2021 through the transmission
Mr. Monai Mettkaruchit Mr. Monai Mettkaruchit offer for selling the shares of Advance web service public company limited to the public without filing the registration statement and the draft
Picnic Corporation Public Company Limited Picnic Corporation Public Company Limited (PICNI), a securities issuer which is proceeding the rehabilitation procedure under the Bankruptcy Law and is
Customer Due Diligence : KYC/CDD procedure. SEC Act S.133 paragraph 2 Settlement Committee Meeting No. 11/2022 Settlement Committee Order No. 178/2022 Dated 11/11/2022
notification which are Finnomena did not take the client’s knowledge assessment result for consideration of the complex fund sale service and Finnomena did not have selecting seller procedure. SEC Act S.113
information, documents and evidentiary documentations relating to Finnomena's business which are Finnomena did not centralize the information and provide the complaint screening procedure. SEC Act S.113
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to