Penal Code.Earlier, the SEC on March 16, 2012, had ordered GEN to rectify its financial statement 2011 due to the limitation on the auditor? examination by the company?s executives regarding the company?s

in exchanging news and information on capital market supervision and development, and rendering assistance in examination to the extent permitted by each country?s laws. In addition, the MOU will pave

aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the

{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

abets, or has involved in or abetted such act of other persons; 7 7. having reasonable grounds to believe that the person neglects or has neglected to conduct proper examination in order to prevent the

Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of

B.E. 2535 (1992), the Securities https://publish.sec.or.th/nrs/2544pe.doc Translation retain such record until all the procedures are completed. In the case where the advise, trading instruction or

the case where the advise, trading instruction or negotiation is made by telephone or via electronic means, the securities https://publish.sec.or.th/nrs/65pe_r.pdf is made by telephone or via electronic