) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties

Futures Co., Ltd. The SEC's finding indicated that he had falsified documents by signing the documents on behalf of the client and made copy of client's identification card to obtain a gift voucher. When

- Translation - Tender Offer for Securities (Form 247-4) Of Glow Energy Public Company Limited By Global Power Synergy Public Company Limited (The Tender Offeror) The Siam Commercial Bank Public Company Limited And Phatra Securities Public Company Limited (Tender Offer Preparers) Phatra Securities Public Company Limited (Tender Offer Agent) “This English language translation of the Tender Offer has been prepared solely for the convenience of the foreign shareholders of Glow Energy Public Company...

Phoncharoensuk jointly failed to perform their duties with dishonest intent, committed dishonest converting RICH's property to himself or a third party, and obtained unlawful http://market.sec.or.th/public/idisc

** had purchased land for a power plant construction in a corrupt manner to seek unlawful gain. The SEC’s investigation revealed actions that could constitute offenses under the Securities and Exchange Act

Pipat.   The acts of Amorn and Pipat were deemed an dishonest breach of duties offense, an asset misappropriation and seeking unlawful benefits for themselves and their associates, causing damage to AJD

unlawful gains for himself or another person and causes damage to Solaris Asset Management Co., Ltd. and undermined investor confidence in the fairness and integrity of capital markets, which constitutes

unlawful personal gains in violation of the Notification of the Capital Market Supervisory Board concerning Rules on Capital Market Personnel*. The SEC has therefore revoked the approval as equity investment

IFEC directors and executives is unlawful. If any fact appears that there has been any violation of the SEA, such persons may be liable to legal action that could lead to criminal penalties and civil

identification of clients and the beneficial owners of derivatives traded by clients in accordance with the information obtained from members. Such identification may be recorded in the form of Identification Card