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at the time, was committing wrongful acts against clients’ assets through misappropriation of their subscription money for mutual fund investment. In so doing, she fabricated and submitted false

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8152

Notification of Capital Market Supervisory Board TorThor 43/2552

Custody of Assets of Clients by Securities Companies

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=4784&SearchNo=

Notification of Capital Market Supervisory Board TorThor 84/2552

Custody of Assets of Clients by Licensed Derivatives Brokers

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=4797&SearchNo=

Notification of Capital Market Supervisory Board TorThor. 13/2555

Custody of Assets of Clients by Securities Companies (No. 3)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5791&SearchNo=

Notification of Capital Market Supervisory Board TorThor. 23/2558

Custody of Clients’ Assets by Securities Companies (No. 4)

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=6606&SearchNo=

Notification of Capital Market Supervisory Board TorThor. 84/2552

Custody of Assets of Clients by Licensed Derivatives Brokers

http://capital.sec.or.th/webapp/nrs/nrs_main_search_en.php?chkPost=1&chkNo=1&doc_id=5461&SearchNo=

Notification of Capital Market Supervisory Board TorThor. 43/2552

Custody of Clients’ Assets by Securities Companies (Codified)

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SEC to impose civil sanction on POLAR and two executives

the existence of the debt that Tangerine Properties Co., Ltd., a POLAR subsidiary, owes to Simba Co., Ltd. Earlier, the SEC ordered POLAR to conduct a special audit on such debt and requested the

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6963

SEC files a criminal complaint against 11 directors of Energy Earth for making false entries or failing to enter any material statement in documents

to approve that EARTH underwent a business rehabilitation process. The SEC, then, had a question regarding the existence and status of the increased debt of THB 26,000 million.The investigation

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8204

FS_PAGE_0551_E_2018-04-12_4694234991.pdf

Building Confidence in the Capital Market No. 37/2018 SEC extends deadline for EARTH to clarify the existence and the fair value of mining property rights Bangkok, 12 April 2018 – The SEC has granted

http://capital.sec.or.th/webapp/corp_fin/datafile/FS/FS_PAGE_0551_E_2018-04-12_4694234991.pdf