Following a client’s complaint and SEC’s further investigation, it was found that during 20-27 September 2018 {A}, as investment consultant of the client, failed to inform the client of the liquidity problem of an issuer of bills of exchange, which was material information for investment decision making of investors. Her misconduct was deemed failure to give advice or information to investors correctly and completely and without sufficiently notifying or giving information that was import...
notification of the Capital Market Supervisory Board by calculating net capital in accordance with Form Bor. Lor. 4/1 incorrectly in the amount of 7 cases. SEC Act S.97 Settlement Committee Meeting No. 1/2020
inaccurate (i.e., incorrect calculations) • Report logic is incorrectly applying parameters • Report logic is incorrectly gathering source data • Unauthorized changes to systems or programs Infrastructure
notification of the SEC by failing to put in place a sufficient and effective system for brokerage services system in digital asset trading, causing the coin prices displayed in the order book was inaccurately
the displayed buying and selling prices of order book do not align with the actual market prices, causing the coin prices displayed in the order book was inaccurately. DAB Act S.94 Settlement
Mr. Khumsup Lochaya During December 11, 2008 to present, Mr. Khumsup Lochaya inaccurately reported or fail to reported to the SEC Office the acquisition or disposal of Superblock Public Company
website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices or
Mr. Suchai Stapornchaiyasit Mr. Suchai Stapornchaiyasit inaccurately reported or failed to report to the SEC Office the acquisition of Thai Industrial and Engineering Service Public Company Limited
exchange website was inaccurately and inconsistently presented to investors, the general public and the SEC. For example, the website did not show the trading prices for coins that were traded at low prices
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the