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
Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered
Bangkok, 3 August 2023 – SEC has ordered a revocation of an investment consultant approval on Mr. Teerasak Tipboonsri for 10 years for failure to perform duties with loyalty, misappropriating
), Section 16 and subject to sanctions under Section 125. The public prosecutor ordered a non-prosecution order. DV Act S.Section 16 Criminal Complaint Filed with an Inquiry Official Dated 16/08/2017
the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A
was always higher than its acquisition price. The buy side would occur in the opposite direction. Instead of buying securities for UBS?s clients at the best offer available on the SET main board
Earlier, the SEC ordered CMO to arrange a special audit and report the results thereof by 23 November 2023.* However, CMO requested an extension of the reporting deadline to 3 January 2024 because EY
operate. For the progress of the joint venture company, the Genco Otani Co.,Ltd has already signed an agreement for constructing the new pretreatment plant and ordered the machines and equipment from the
financial statements.Earlier, the SEC had ordered TUCC to rectify its financial statements for the second and third quarters of 2012 and then submit to the SEC and publicly disclose the rectified and reviewed
Bangkok, October 17, 2013 ? The SEC extended the submission date of the special audit report of Millcon Steel Plc. (MILL) until no later than October 31, 2013. Earlier, the SEC had ordered MILL to