required to file with the SEC and publicly disclose the rectified and reviewed financial statements by October 28, 2014.The SEC found that the auditor gave qualified opinions on VTE?s Q2/2014 financial
(s) with the ultimate power of control of the tender offeror. In addition, it was found that disclosure of certain topics in the tender offer documentation was unclear.The SEC therefore ordered North
the evening of 7 June 2017, it has been found that the disclosure lacks sufficient details on the cause and effect of the default on other debts, EARTH's financial condition and operating results. Since
Stock Exchange of Thailand (SET). In case where irregular trading is found, the SET as a front-line regulator will refer the case to the SEC for further investigation. At present, a number of cases
Plc. (TWZ). Following the Stock Exchange of Thailand (SET)?s report on irregular trading of TWZ shares, the SEC probed into the case and found that such irregular trading (1) from September 28 to
client and acted irresponsible for the consequence of her action. The SEC probed into the case and found that {A} had made trading decision for such client in a manner that executing orders prior informing
from KKTRADE Securities Company Limited, the SEC probed into {A}' s case and found that she had been authorized by her client to make securities trading decisions on the client?s behalf for a period of
into the communication records of {A} and her client and found that {A} had been authorized by her client to make derivatives trading decisions with high trading volumes. The client asked her to close
the referral from the Stock Exchange of Thailand, the SEC's probe found that during November 9-22, 2012, {A} purchased 1,786,100 {X1} Company shares based on the company positive non-public information
client.Following the report of DBS Vickers Securities (Thailand) Company Ltd., and a client complaint, the SEC probed into {A}'s case and found that she had been authorized by her client to make securities trading