Bangkok, December 27, 2012 - The SEC imposed a one-month suspension on three investment consultants of Phillip Securities (Thailand) Plc. for not taping clients? trading orders, effective from
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
This is in reference to the news reports that the Singapore Police Force (SPF) and the Monetary Authority of Singapore (MAS) conducted an operation against Capital Asia Investment (CAI), resulting in the arrest of two directors of CAI and the seizure of CAI’s assets for alleged money-laundering offences. The SEC has found that ERX (operating under the trade name ‘KuCoin Thailand’), which provides digital asset exchange services, has Cryptosphere and ROE as its major shareholders in accor...
Earlier, the Civil Sanction Committee (CSC) resolved to impose civil sanctions on JKN in a case relating to publishing false or misleading information about JKN, requiring payment totalling 2,062,039 baht (comprising a civil penalty and a reimbursement of investigative expenses incurred by the SEC).In this regard, JKN agreed to comply with the civil sanctions imposed by the CSC by signing a letter of consent. However, the company failed to fully make the required payment accordingly. The S...
OTO will convene the EGM on 19 February 2024 to propose for the shareholders’ consideration the offering for sale of capital shares, through PP, in the amount of 1.2 billion shares at the price of 0.60 baht per share or a total of 720 million baht in value. The objective of the offering is to use the proceeds for investments in Peer for All Company Limited (PFA) and Happy Products and Services Company Limited (HPS).In this regard, an IFA has expressed the opinion that the offer price of such cap...
. Thus, there is no ground to extend the period of PDITL asset attachment.Remark: * SEC News No. 117/2023: “SEC orders attachment of assets of 10 offenders in STARK case and temporarily prohibits their
On 11 April 2024, NEWS published the AGM 2024 notice together with supporting documentation on the company’s website. The meeting agenda covered the consideration for approval of an increase in registered capital of NEWS to offer for sale ordinary shares in a private placement at an amount not exceeding 90,994,520,700 shares and the exercise of NEWS-W8 warrants at the amount of 39,328,943,670 shares. The company will allocate NEWS-W8 warrants to the existing shareholders in proportion of their s...
Company Limited. Consequently, pursuant to Section 267 of the Securities and Exchange Act B.E. 2535 (1992), the asset attachment order remains effective under the court orders otherwise.**Mr. Anak Yooyuen
According to a referral from MBKET and SEC’s further inspection, during May 2016 – December 2018, {A} executed trading orders of securities and derivatives for a client in the following manners: (1
of applying for approval for accepting clients’ trading orders of capital market products outside the office and for performing other duties from home in line with the New Normal standard. The SEC