, the SEC suspended {A} for two months and {C} for one month from duty as an approved securities investment consultant. For {B} with his previous demerit record, the SEC suspended him from duty as an
Criminal Code. A referral from the Stock Exchange of Thailand stated that irregularities in the trading of FOCUS shares had been detected in relation to trading activities of a certain group of persons. The
internal audit report concerning cost of sales and inventories which were raised by the auditor. The said opinion must be submitted to the SEC within 5 working days from the date on which the audit committee
). According to a referral from the Stock Exchange of Thailand and the SEC?s further investigation, Chayanont was found to have traded CHUO shares continuously during 28 April ? 30 May 2014, in such a way that
3) Orapin Raiwiboon. In connection with the case, the application for approval as investment consultant submitted by {A} has been rejected. According to a report from Thailand Securities Institute
firm to be prohibited from business expansion. In addition, in case where an increase of investment by any person or a group of persons causes the one-third limit to be exceeded, the asset management
for enhancing operational efficiency under the ?SEC Centerpoint? Knowledge Management Project. The project has allowed the SEC staff to learn, exchange, and apply the knowledge acquired from work
Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
Bangkok, March 28, 2013 - The SEC imposed a three-month suspension on {A}, a securities market investment consultant of Trinity Securities Co. Ltd.The SEC received a report from Trinity Securities