trading activities of one group of individuals. According to the SEC’s further investigation, there was sufficient evidence showing that on 7 and 17 November 2014 Thanadej, Naruedee, Nitis and Winyoo had
ordered him to pay a minimum fine of 500,000 baht.The SEC appreciated the assistance of The Securities Commission Malaysia in compilation of facts and evidence, which contributed to the successful handling
the duty of investment consultants to record them along with conversations at all times for evidence. The SEC places high importance in this matter because it will be beneficial to both investment
provided by the Monetary Authority of Singapore (MAS) and Securities and Futures Commission, Hong Kong (SFC) in gathering relevant facts and evidence which consequently help the SEC to pursue legal action on
?s subsequent probe showed reasonable evidence that in 2009 Bee Taechaubol, then IEC director responsible for the company?s operation and asset management, had violated his duties as a company director
evidence gathered by the inquiry official from the SEC?s proceeding of the criminal complaint against NMG Chairman Nittimon Hastindra Na Ayudhya, who presided over the shareholders? meeting in December 2015
appropriate audit evidence on the matters. The SEC therefore instructed PRO to rectify the financial statements, cooperate and satisfy the auditor of supporting information and documents, and then submit to the
have the right according to criminal justice process to clarify and present information and evidence to the respective authorities. In any case, the filing of a criminal complaint commences the criminal
thus unable to gather sufficient evidence for such transactions. In this regard, the SEC required AIE clarify the issues to the SEC and publicly disclose the information by May 12, 2015.In addition, AIE
that it was in the process of gathering relevant documents and evidence for auditor. In addition, AIE and AI sought for an extension of deadline to submit the Q1/2015 financial statements from May 15