ordered CPAXT to further clarify related matters, for example, the Board of Directors’ opinions, the Audit Committee’s consideration for approval of the joint investment in The Happitat Project, the fair
No. Tor Lor Thor. 8/2557, as amended by the Notification of the Capital Market Supervisory Board No. Tor Lor Thor. 48/2560. SEC therefore ordered the approval of all three investment consultants on
Bangkok, August 8, 2013 ? The SEC ordered Millcon Steel Plc. (MILL) to arrange a special audit by either the auditor who audited the company?s 2012 financial statements or any other auditors on the
client had ordered to sell 50,000 shares at 19 baht per share on February 25, 2014 but {A} instead submitted the selling orders for 49,000 shares at 17.50 baht per share. {A} admitted doing such action
obtained unlawful gains for themselves or another person which caused damage to GSC or others obtained benefit. In this regard, they jointly decided, approved, or ordered GSC to grant 7 loans to Asia Capital
without using the money to buy investment units as per the clients’ orders, (2) bought investment units less than the amount ordered, (3) misappropriated her clients’ money by depositing it into her own
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s
consultant approval status. In addition, the SEC suspended other three investment consultants: (1) {B}, then an employee of Finansa Securities Co., Ltd.; (2) {C} of BT Securities Co., Ltd. (presently CIMB
in Clause 30 or the SEC Office has ordered 11 suspension of approval throughout the remaining approval period or revoked approval for becoming the appraisal company in capital market or the lead