worked for Country Group), had used incomplete Customer Confirmation and Portfolio reports in substitution for order tickets. Their actions were deemed as failure to record the customers? securities

? pre-determined investment scope.The proposed rules have taken into consideration the public?s and stakeholders? comments and suggestions collected from the hearing on the guiding principles in last

auditor and found audit deficiencies related to the issuance of B/E. The deficiencies resulted in {A}’s failure to detect the incomplete record of the B/E in the annual financial statements.The SEC has

interests ​​ Conflict of interests ​ ​ Solutions ​Related party transactions​ ​The pricing of the RPT must be determined with reference to the market price; A clear contract and policy is made; Fair

's profit. 12/05/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht

agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.33 Baht SEC Act (before the fifth

using material non- public information for Mr.Suwat's profit. 12/06/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :    

>20/07/2017 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :     - a civil monetary penalty of 333,333.30 Baht SEC Act

material information which has not yet been disclosed to the public. 01/04/2020 agreed to comply with civil penalties determined by the Civil Penalty Committee as follows :    

was notified by the competent officer to comply with such orders, Zipmex delivered only partial or incomplete information. In addition, Zipmex delayed the delivery of information requested by the