Penal Code.Earlier, the SEC on March 16, 2012, had ordered GEN to rectify its financial statement 2011 due to the limitation on the auditor? examination by the company?s executives regarding the company?s
in exchanging news and information on capital market supervision and development, and rendering assistance in examination to the extent permitted by each country?s laws. In addition, the MOU will pave
aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the
{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company
lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A} traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took
Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus
appropriate; (2) establish a measure for protection of confidential or sensitive data in case of loss of mobile devices, for example, entering passwords prior to using a mobile device (lock screen) or remote
authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system
significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases