period specified in the notification of the Capital Market Supervisory Board. The public prosecutor ordered a non-prosecution order. SEC Act S.246 and 247 Criminal Complaint Filed with an Inquiry
Bangkok, 23 June 2017 ? The SEC has ordered Polaris Capital Public Company Limited (POLAR) to have an auditor conduct a special audit on the sources, existence and completeness of its accounting
company directors and the unclear information regarding the invitation to the Board of Directors meeting, the SEC has therefore instructed JKN and persons involved to give additional clarification and
profit should also be avoided while accounting aspect of the transaction remains unclear as it could affect company share price and constitute a violation of securities law,? Chalee added.
impose civil sanction on the eight offenders. In this regard, (1) PCL, (2) Pranay, (3) Manish and (5) Amit were ordered to pay a separate civil penalty of 500,000 baht while (4) PAPL was ordered to pay
trading decision and informed the client afterward. Examination on records of investment advice, trade order instructions and confirmations indicated that the client's instruction was unclear as certain
28 March 2017. Earlier, the SEC ordered KC to have a special audit on the internal control system http://capital.sec.or.th/webapp/corp_fin/datafile/FS/FS_WARN0446_2016_E.pdf FS_PAGE_0446_E_2017-02
second time, from 8 March to 28 March 2017. Earlier, the SEC ordered KC to have a special audit on the internal control system http://capital.sec.or.th/webapp/corp_fin/datafile/FS/FS_WARN0446_2016_E.pdf
rights and benefits of securities holders or the decision making of investors, the SEC, by virtue of Section 58(2) of the Securities and Exchange Act B.E. 2535 (1992), has therefore ordered MORE to clarify