Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC?s finding that he had made audit mistakes and failed to comply with the auditing standards in performing the audit of financial statements of public limited companies applying for public offering of newly issued securities. The SEC?s review on working paper indicated that Chanunkorn had made mistake...
insurance company in charge. SEC has considered that Sarunya, whose license as life insurance broker and agent had been revoked by OIC for performing duties dishonestly, was deemed to have a prohibited
(2018). Under the proposal, the qualifications or prohibited characteristics of digital asset business license applicants, their directors and major shareholders under Clause 3* (10), (11), and (12) (b
pay interest, constituting an offense. The Investment Committee is considered to have the prohibited characteristics to act as personnel in the capital market business.** The SEC has suspended Mr
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC
persons to hold not more than 1/3 of total investment units sold.? In case any person or group of persons hold an amount exceeding the limit is barred from making additional investments, the asset
Bangkok, April 22, 2013 - The SEC barred {A}, a former employee of Siam City Securities Co., Ltd., from holding any securities company management positions as well as revoked her investment
Foods Public Company Limited (TIPCO) using inside information known or in possession. The two offenders are required to pay a total fine of 4,970,880 baht and are prohibited from serving as directors
, Kannida, Pakkawan and Kanchanarath, are prohibited from trading securities or derivatives for a period of 30 months each and are barred from serving as director or executive in any securities issuing