well as other social media, to invest in securities or futures. The solicitation was made with a promise to manage investment to achieve high rate of returns within a short period of time, providing that
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
times within seven months up until this latest case. Laddawan, Orapin and Napas submitted to the SEC the results of the exam taken by Atcmima for their respective approval as investment consultant. The
the trading volume of such shares on a large scale. In addition, several trading orders were matched within the same group, causing the PYLON trading to be inconsistent with the normal market condition
, the asset management firm must disclose the information to investors for investment decisions; as well as rectify such non-compliance within two months. Failure to do so may cause the asset management
be requested to provide clarification and its subsequent advertisement may be subject to the SEC?s prior approval. Already publicized advertisements must be revised within 15 days to be in compliance
license under Section 26, penalties under Section 66 may apply. If facts indicate such behavior constitutes an offense, the SEC will consider taking action within its authority. Furthermore, the
annual registration statement for the year 2012 (Form 56-1, 2012), and (4) the annual report for the year 2012 (Form 56-2, 2012) to the SEC and the SET within the specified period. The Bangkok South