explanation to the SEC accordingly. In performing duties, investment consultants can send trading orders only when obtaining instructions from the clients. They are not allowed to make securities
the settlement procedure (SEC News No. 87/2014), but later failed to make fine payment in full as specified by the Settlement Committee. The criminal case has thus not been regarded as settled.In this
Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the
construction projects, despite the fact that the services did not exist, with intent to deceive other persons. The said action was in violation of Section 312 of the Securities and Exchange Act B.E. 2535 (1992
. Consequently, AI auditor did not express opinion on 2014 consolidated financial statements of AI because of such limited audit scope imposed by AIE management. The SEC therefore notified AIE and AI to cooperate
rules will not affect listed company?s private placement deals at market price during the offering period as defined under the rules. For the discounted private placement or the placement at the price
monitored with professional investment advices. If investors encounter any solicitation to transfer money into an account of securities firm, whether or not it is the firm that investors have already opened
. This will not only build Thai capital market with a solid foundation for sustainable growth but will also turn it to be a regional financial connector for emerging economies.The 2014 inspection results
monitoring listed companies? performance, the SEC did not grant further extension of deadlines for AIE and AI as requested. In this regard, AIE and AI must submit the said financial statements urgently. For