units of long-term equity fund (LTF) bought in 2013 in order to invest in another fund. After reviewing the LTF investment account of such client, {A} informed the client that selling LTF investment units

Bangkok, October 8, 2014 - The SEC imposed a three-month suspension on {A}, a securities investment consultant of Siam Commercial Bank PLC., for signing the buy/sell order form of investment units

. (now Capital Engineering Network Plc. (CEN)), conspired with Mr. Suriya Lapvisuthisin to misappropriate Baht 80.1 million from Rayong Wire Industries, an Eastern Wire subsidiary, through a contract for

;), shall be liable for STARK’s failure to prepare and submit the reviewed financial statements for Q1/2023 to the Stock Exchange of Thailand within the period specified in the notification of the Capital

for JKN’s failure to prepare and submit the reviewed financial statements for Q1/2024 through the transmission system within the period specified in the notification of the Capital Market Board, due to

failure to prepare and submit the audited financial statements for the year 2023 through the transmission system of the SEC Office within the period specified in the notification of Capital Market

financial statement for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his failure to order or act

interim management discussion and analysis for the year 2023 through the transmission system of the Stock Exchange of Thailand within the period specified by the Capital Market Supervisory Board, due to his

audited financial statements for Q3/2020 and an interim management discussion and analysis (MD&A) for Q3/2020 within the period specified in the notification of the Capital Market Supervisory Board as a

trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital