The SEC has sought cooperation from all financial advisors (FA) to help raise up standards of IPO companies by focusing on good internal control system and credibility of financial statements
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
Rules, Conditions and Procedures for Operational Control in Underwriting of Securities (No. 2)
punishment of 2-year imprisonment and 8,000,000 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment and 4,000,000 baht. The jail term was
Court ruled against him for violating Sections 243(1) 244(2) and 296 of the SEC Act conjunction with Section 83 of the Penal Code regarding METRO and TUCC shares. The Court inflicted the punishment of 2
inflicted the punishment of 16-month imprisonment and 5,333,333.33 Baht fine. Since the defendant pleaded guilty, the Court reduced the punishments, resulting in 8-month imprisonment and 2,666,666.67 Baht
. The Court inflicted the punishment of 2-year imprisonment. Since the defendant pleaded guilty, the Court reduced the punishments by half, resulting in 1-year imprisonment.The case was deemed final