securities without approval in the category of debenture in violation of Section 33 of the Securities and Exchange Act B.E. 2535 (1992). The SEC has therefore filed separate complaints against the four
Global Markets Ltd. (Navista) for operating derivatives business without license. Following the reports on their suspicious unlicensed derivatives activities, the SEC conducted raids on GISP?s office
Polaris Capital Public Company Limited Polaris Capital Public Company Limited ("POLAR"), a listed company, failed to prepare and submit the financial reports through the transmission system
and submit the financial reports through the transmission system within the period specified in the notification as follows : (1) the reviewed financial statements for Q2/2020 (2) MD&A of Q2/2020 (3
, liable to be offenses pursuant to Section 307, Section 308, Section 311 and Section 313 of the Securities and Exchange Act B.E. 2535 (1992) (SEA), in conjunction with Section 83 of the Penal Code. The
Act B.E. 2535 (1992) (SEA). The audit committee twice reported that no wrongdoing was found and that the inadequacies in TUCC?s internal control, without any sign of fraud. The SEC probed into the case
) Equity Prospectus ( 206 ) Enforcement ( 171 ) Debenture Prospectus ( 169 ) 246-2 ( 152 ) Form 246-2 : Reports on Acquisition or Disposition of Securities ( 105 ) LegalHub ( 90 ) Finanacial Statements ( 60