investigation revealed that  Phaibul while served as UMS Chairman and executive director, Pongsachalerm as director and executive director and Chaiwat as managing director and executive director, had sold UMS

, shareholders holding aggregate amount of at least 5% of total voting rights are entitled to propose agenda for shareholders? meeting prior to the meeting date.For the SEC investigation on TTA, all relevant

SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to

setting of the allowance for doubtful debts while the SEC investigation found that some assets have already been mortgaged as collaterals with other creditors since 2009;           3. NIPPON has not

country regulators are able to provide assistance in investigation and the exchange of information relating to violation of securities law;- At least two directors must be Thai nationals and reside in

333,333.33 baht for aiding and abetting in the aforesaid insider trading.  According to a referral from the Stock Exchange of Thailand (SET) and the SEC?s own investigation, the aforesaid individuals from (1

criminal complaint with the Department of Special Investigation (DSI) against Shisiro, Pisan and Kanchanok (or Natchaporn or Rassarin), for falsifying documents and accounting records in the DAIDO financial

Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report

accurate records of clients trading orders. Upon the SEC regular investigation on nine securities firms and random inspections on trading orders sent by phone and at the trading room, the investor contacts

jointly pay a reimbursement of investigation expenses incurred by the SEC in the amount of 102,132 Baht together with interest at the rate 7.5% per annum since the date of the entry of the plaint (3