2022 Click here to display all results SEC has ordered to amend Finanacial Statements ( 0 record(s) found) Name Description Details Data not found Last updated on 13 January 2025

, not allowing IFEC to solve the problems in a timely manner. Citing Section 58 of the Securities and Exchange Act, the SEC has ordered Mr. Suphanan to clarify why he has not organized a shareholders

specified in the Notification of the Capital Market Supervisory Board*. The SEC has therefore ordered the 18-month suspension on {A}'s capital market investment consultant approval, effective from 21 October

2,666,666.67 Baht fine. The jail term was suspended for two years. The later, on February 18, 2020, The Appeal Court reversed the judgment of the Criminal Court, not pending for punishment and not fines. The

net capital. This shall provide a period of time for the business operator to take corrective actions to ensure that the subordinated liabilities portion not considered as total liabilities does not

statements for January and February 2016, purchased PTL shares through his own trading account on 11 and 17 March 2016 at the total amount of 200,000 shares and colluded with (8) Mr. Rahul Jain, who was not

Bangkok, 27 September 2023 – SEC has ordered a revocation of an approval of an investment consultant, Mr. Phisit Taninrungroj, for 10 years for committing dishonest acts by using clients’ trading

ordered Zipmex to suspend its business operations and return assets to its client or proceed according to their requests within 15 days. If any clients do not notify their requests or claim their assets

Sakkarin while in fact Sakkarin did not execute any purchase order of such shares. Later, Sakkarin lied to the client that his shares in the client's account had been sold with capital gain and he wanted his

ordered CPAXT to further clarify related matters, for example, the Board of Directors’ opinions, the Audit Committee’s consideration for approval of the joint investment in The Happitat Project, the fair