identification and verification procedure that is both appropriate and reliable; - Upon any material change in a transaction, or any reason to suspect such information, to verify, to review, and to collect
SEC has received information that Ronghui has invited retail investors to join certain investment by informing that their money will reinvest in real estate projects or investment projects of
provide underwriter (securities company and bank with securities underwriting license) with the information on client?s risk appetite, thus, allow giving of advices or offering of products suitable for
instructed the company to amend the annual financial statements for the year 2015 and the interim financial statements for the third quarter of 2016, which had failed to present correct information on the
appropriate to ensure the companies? long-term sustainable value creation.As the CG Code is in effect, the SEC is proposing amendment to the principles and relevant rules on information disclosure through the
. (Thailand) Ltd. for disseminating information, which had not been reported to the Stock Exchange of Thailand, causing the public to understand that the price of TPIPL stocks would increase, as well as (3
, falsifying documents and recording false accounting information. The SEC later issued a freezing order against Wichai?s assets for 180 days to prevent him from removing or disposing the assets. The order would
Bangkok, April 18, 2014 ? The SEC urged shareholders of GOLD and UV to carefully study information on valuation of GOLD?s assets in a proposed related party transaction at the upcoming shareholders
. Additionally, the proposed revisions are expected to provide more flexibility for business operators and enhance cooperation and the exchange of information among relevant market participants both at domestic
Bangkok, March 10, 2015 ? The SEC revealed that the Settlement Committee imposed a total fine of 500,000 baht on Pantipa Thirakanokvilai for using inside information to sell shares of IT City Plc