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

submitted an incomplete registration statement (FORM 69-PP-PRICING) which is in breach of the Securities and Exchange Act B.E. 2535. SEC Act S.33 Settlement Committee Meeting No. 7/2024 Settlement

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

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

transactions in the wallet. In this regard, although he was notified by the competent officer to comply with such orders, he delivered only partial or incomplete information. In addition, he delayed the delivery

Ngern Tid Lor Public Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration

Company Limited's offering to sale newly issued securities in the category of Bill of Exchange (B/E) without approval from the SEC Office by submitted an incomplete registration statement (FORM 69-PP

Thareerattanavibool, former director and Accounting and Finance director of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining

. Anurag Thareratanavibool, former chief executive officer of AIE, jointly instructed AIE to make incomplete documents relating to products and raw materials involved in the sale of oil and the refining of

Exchange Act B.E.2535 . Preliminary version: incomplete and/or being reviewedinformation. Revised version: new report submitted by the reporter to replace theold one. Chain principle: indirect acquisition of