Bangkok, May 12, 2014 - The SEC disclosed an inappropriate behavior to the general public and suspend approval of {A}, a former securities investment consultant of UOB Kay Hian Securities (Thailand
Bangkok, June 26, 2014 - The SEC suspended {A}, a former securities investment consultant of Capital Nomura Securities PLC., for trading securities on behalf of client. Following the report of
records between {A}, then a former securities investment consultant of Country Group Securities Plc., and her client that she had been authorized by the client to take care of the account as well as make
Bangkok, July 11, 2013 ?This follows the news on a complaint filed with the SEC by Mr. Hans Jorgen Nielsen, a former president, director and a chairman of the executive committee of L.V. Technology
Bangkok, April 20, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 1,500,000 baht on Chakkit Thanavirun, a former executive of Bliss-Tel Plc. (BLISS) for imparting false
misconducted profiles from public fundraising. In the former rules, any misconducts found during PO submissions such as forged accounting, issuer would only subject to disapproval, while, the recent revised
Mr.Chupong Thanasethakorn Mr. Chupong Tanasettakorn, former deputy managing director of Country Group Holdings Public Company Limited (CGH), who was then responsible for the underwriting of Takuni
COMPANY LIMITED), instructed a group of former sales employees of GIFT to establish GLOOMMING GLOBAL COMPANY LIMITED (“GLOOMMING”) in order to operate a same business and in direct competition with
debtors as GL’s income on those financial statements and financial reports but the fact that the transactions are an execution of asset misappropriation by GL’S former Chief Executive Officer. Therefore