follows; (1) engaged in an act which may cause damage or constitute an unfair advantage to its customers or other interested person as specified in the notification of the Capital Market Supervisory Board
SEC as well. Preparation and disclosure of Form 56-1, although not necessarily be lengthy or extremely detailed, must contain adequate and accurate information in materiality and be made in a timely
helps mitigate risks, turn crisis into competitive advantage and create sustainable growth. This is in line with the government’s policy on promoting the development of SMEs, startups as well as their
market auditor during 1 February to 30 June 2022 and take advantage of the reduced application fee. We believe this measure will not only help to increase the number of auditors in the capital market
Section 105 Securities and Exchange Act B.E. 2535 Section 105. A securities company shall prepare its accounts stating true and accurate business operation and financial condition, which must conform
AEC Securities Public Company Limited Between December 25, 2018 and May 22, 2020, AEC Securities Public Company Limited , as a securities and derivatives broker, failed to submitting an accurate and
Asia Wealth Securities Public Company Limited Between February 25, 2021 and May 31, 2021 Asia Wealth Securities Public Company Limited, as a securities broker, failed to submitting an accurate and
DBS Vickers Securities (Thailand) Co.,Ltd. Between June 4, 2019 and June 7, 2019, DBS Vickers Securities (Thailand) Co.,Ltd., as a securities and derivatives broker, failed to submitting an accurate
SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement