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
the fund ; (2) the analysis and feasibility study on the establishment of the fund , including due diligence on the infrastructure asset to be acquired, and the disclosure of accurate and sufficient
establishment of the fund, including due diligence on the infrastructure asset to be acquired, and the disclosure of accurate and sufficient information related to the establishment of the fund and the
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
request for repayment from assets of the foreign banks; or the foreign banks may draw profit or capital from their branches. In addition, the issuing branches are required to furnish and disclose credit