investors in minds, as well as for them to have a flexible and effective working system and measures against conflicts of interests. SEC also sought comments and concerns in regards of relevant aspects
with the highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on Mr. A, (2) to prohibit Mr. A from securities trading or entering into
highest legal penalty. The SEC has sought the Court’s ruling (1) to impose a civil fine worth 1,000,000 baht on {A}, (2) to prohibit {A} from securities trading or entering into derivatives contracts for
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
approval on behalf of the company, had collusively sought unlawful gain causing damage to BLISS. They decided or proceeded for BLISS?s assets to invest in share warrants of C.I.Group Public Company Limited
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, 2015 to the completion of their rectified 2014 financial
capacities of an investment consultant and private fund manager without obtaining the necessary license. In this context, he sought public engagement regarding the value of securities and the suitability of
) dishonestly diverted company assets to himself or a third party and sought unlawful gains for himself or others, causing damage to WORLD at the total amount of 30 million baht. Ms. Hongsri rendered assistance
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an