Design Co., Ltd., Montian and Chai (or Kittiwut) were guilty for aiding or abetting document falsification. However, as all the defendants pleaded guilty, the Court reduced the punishments by half
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...
, colluded with other directors and executives of STARK, or consented to the falsification of STARK and its subsidiaries’ financial statements from 2021 - 2022 to deceive the public. Mr. Prakorn had a duty to
handle their complaints sufficiently and efficiently while protecting the clients’ best interest. ____________________
business sector’s awareness and readiness to handle cyber threats, with guest speakers, i.e., Pol. Col. Naughtakid Phromchan, Director of the Operations Office, Thailand Computer Emergency Response Team
falsification of accounts and financial statements, and the deceitful practices towards the public in the case of Stark Corporation Public Company Limited (STARK). The SEC is also prepared to extend full
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
website: www.globalinvestments.net and www.Qropdirect.com to lure investing public that it had a team of experienced and expert investment consultants to handle suitable portfolios for investors through
handle suitable portfolios for investors through different company names such as Global Investments Far East Limited and Global Investments International Limited. The aforesaid person jointly operated
abetted the falsification of AMAC’s documents and accounts or preparation of incorrect 2008 and 2009 financial statements concerning purchasing raw materials, hiring for spare parts mold production, selling