Securities and Exchange Act B.E. 2535 (1992) (SEA). The Criminal Fining Committee has therefore imposed a separate fine of 500,000 baht each on NEWS and Mr. Arak for failing to order or take action in

, had traded KARAT shares by using inside information before it was publicly disclosed on July 3, 2002. DSI later referred the case to public prosecutor who issued a prosecution order against Apichart

the company and its subsidiaries? failures to appraise the fair value of fixed assets in order to determine their realization value as well as the auditor?s dissatisfaction by means of other audit

affect POLAR investors and shareholders. In this regard, POLAR's failure to comply with the order of the SEC is liable to contravention of Section 58 (3) of the Securities and Exchange Act B.E. 2535 (1992

that {B} had traded the client's securities without client's order. By admitting that trading decisions (30 percent of the transactions) were made before notifying the client, his action was therefore

are one of the key drivers of transactions in the capital market. Hence, they are obligated to adhere to professional ethics and be knowledgeable in the area of good corporate governance in order to

. Vorapol Socatiyanurak added that ?The SEC is well aware of the necessity to develop more speedy and accurate e-Filing system in order to lift up the quality of information dissemination service for

market investment consultant of Finansia Syrus Securities PCL. The suspension was also imposed on {E}, a former executive of UOB Kay Hian for failure to supervise in order to prevent his subordinates from

Bangkok, May 8, 2015 ?The SEC is seeking public comment on proposed rule revisions concerning registrar of provident fund (PVD), establishment and management of PVD in order to facilitate the

explanation from the company directors in order to make a prudent decision on their voting. The SEC requires that any material acquisition and disposal of assets subject to the shareholders? approval must have