Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
Thailand (SET), the SEC?s further investigation has revealed that during 28 August 2012 ? 30 October 2012, TIP?s executive, major shareholder and related persons used nonpublic information that would affect
investigation and found that Ravi had taken advantage of the information on SPORT's operating results for the third quarter of 2015. The information became known to him by virtue of his position as the company's
duties honestly and seeking unlawful benefits from derivatives investment based on non-public information.Following the SET's referral, the SEC conducted a further investigation and found that {A}, then a
investigation revealed that Phaibul while served as UMS Chairman and executive director, Pongsachalerm as director and executive director and Chaiwat as managing director and executive director, had sold UMS
dishonesty, deceit or embezzlement and wrongful use of client?s assets. Following the complaint lodged by clients of Siam City Securities Co., Ltd., and the company?s report on investigation spurred from
, shareholders holding aggregate amount of at least 5% of total voting rights are entitled to propose agenda for shareholders? meeting prior to the meeting date.For the SEC investigation on TTA, all relevant
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
setting of the allowance for doubtful debts while the SEC investigation found that some assets have already been mortgaged as collaterals with other creditors since 2009; 3. NIPPON has not
country regulators are able to provide assistance in investigation and the exchange of information relating to violation of securities law;- At least two directors must be Thai nationals and reside in