that investors can have information for decision-making. At the same time, STARK was also instructed to extend the scope of its special audit to cover a number of material issues and clarify related
material and likely to affect the client's benefits.Following the complaint lodged by client and examination report of Bangkok Bank Plc., the SEC further probed into the case and found that the client
outstanding balance in the derivatives account. In this regard, the aforesaid {A}'s actions are in violation of Clause 20(2) of the Notification of Capital Market Supervisory Board No. TorLorThor. 3/2555 re
Bangkok, August 10, 2011 - The SEC and the Economic Crime Division of the Royal Thai Police (ECD Police) raided and filed a criminal complaint against {X1} Co., Ltd. and related persons for undertaking derivatives business without license. In combating and suppressing against illegitimate businesses, the SEC also alerts investors in this matter and strongly advises them to check whether the soliciting companies are authorized by the SEC prior making investment decision.On August 2, 2011, the SEC...
material and was used by the SEC in its consideration to ensure that the disclosure in the Filing Form was accurate and complete. Furthermore, ETL also concealed the actual statement concerning the interim
The Securities and Exchange Commission (SEC), in collaboration with UN Women and the Thai Listed Companies Association (TLCA), organized a workshop on "WEPs Principles to Actions." The opening
Bangkok, Sep 4, 2012 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Somchai Chaisrichawla while the Settlement Committee imposed a fine on Chaninan Luangwaykin and Tanakorn Ritthibunlue in the amount of 500,000 Baht each for manipulating share price of Asia Metal PLC (AMC). With a referral from the Stock Exchange of Thailand on irregular trading of AMC shares, the SEC probed into the case and found that ?(1) From September 13 to November 16, 2006,...