.{A} case was referred from the Stock Exchange of Thailand for the SEC's further investigation while cases of {B} and {C} were detected by the SEC's routine inspection. The SEC found from the probe that
securities investment exceeding the approved amount was also detected by the auditor causing the auditor unable to verify the correctness and completeness of the investment transaction. The SEC, therefore, has
a 3-month maturity term.So far, the testing results of the blockchain based bond offering system under the regulatory sandbox project have not detected any technological issues or obstacles that
remediation plan to prevent recurrence of similar incidents. In any case, the detected deficiencies will be considered in detail when the SEC reviews KPMG’s audit quality control system
to 227.9 mil. baht. - Total expenses increased 9% or 20.1 mil. baht to 244.4 mil. baht due to the following: 1) The Company had just detected a fraudulent practice of our credit supervisor and need to
aside management expenses from the pooled money. Up to the time when the SEC detected the unlicensed services, there were 54 member accounts in the portfolio with an approximate investment value of 2.35
The SEC’s inspection on the operation of Huobi as a digital asset exchange operator during February 2021 - March 2021 detected deficiencies and insufficiency in Huobi’s management structure and
referral from the Stock Exchange of Thailand (SET), irregularities were detected in relation to the trading activities of such shares by a certain group of persons. An SEC subsequent investigation revealed
invest in some claim-to-be digital tokens which is in fact another form of Ponzi scheme. Such scheme can be detected by ambiguous business plans, products or platforms, as well as the lack of trustworthy
for brokerage companies, the SEC will require that trading room managers must immediately inform the SET and alert their management when rumors are detected in the trading rooms; not amplifying rumors