imprisonment and fines. If such activities contravene other laws, the SEC will collaborate with relevant authorities to take further action. In case of finding solicitation or being solicited for investment
securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated his fraud commission, embezzlement, falsying documents with the
executive in securities companies and derivatives business for ten years, starting June 23, 2011. The order has been issued after the SEC?s finding indicated that his misconducts on clients? assets involved
, respectively. The orders have been issued and effective today, after finding indicated that both investor contacts used their clients? accounts to trade securities for others. In case of Meaunchit, the SEC
Department of Special Investigation (DSI) after finding indicates that this group of people traded shares of Karat Sanitaryware Plc. ("KARAT") by using information that Apichart obtained while performing duty
aiding and abetting Sagha?s share manipulation by finding trading accounts of other persons for Sagha, sending trading orders to manipulate the share prices, and helping with financial transactions related
: www.mpf.co.id, www.ascotfx.com and www.maxglobalbullion.com.From the SEC?s finding, these firms operated a derivatives business without license or registration with the SEC, in violation of Section 16 of the
?s finding that he had made audit mistakes and failed to comply with the auditing standards in performing the audit of financial statements of public limited companies applying for public offering of
) for falsifying the company?s documents and accounts in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992) (SEA). The SEC?s finding indicated that Somchit proceeded or permitted
million or 83.9% compared to the same period last year, primarily due to world-wide travel restriction especially by the commercial plane since the end of March up to now resulting no international traveler