Bangkok, 6 January 2017 ? The SEC has ordered K.C. Property Public Company Limited (KC) to amend its annual financial statements for the year 2015 and the interim financial statements for the third
case and found that the aforesaid persons jointly operated securities business without a license in violation of Section 90 of the Securities and Exchange Act B.E. 2535 (SEA). The said actions were
securities market investment consultant of the same company for trading securities on behalf of client.Following a customer complaint against {B} and {A}, as well as a report from RHB OSK Securities (Thailand
Storage Property Fund (Montri Fund), established and managed by CIMB-Principal Asset Management Company Limited.Following the complaint against Nakul Chaiyanil, a former fund manager who prepared the
Disposal of Assets. From calculation the transaction found that size of transaction according to Net Tangible Assets Basis is highest equivalent to 22.49%, which the scope of transaction type 2. The Company
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform
this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing, underwriting, mutual fund management, private fund
come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform securities brokering, dealing
COMPLAINT Dimet 010-2019 June 12, 2019 Subject : Notification of investment in IGEN Energy Co., Ltd. and McTRIC Public Company Limited, Partial Business Transfer to the Subsidiary and Amendment of
company?s rules. From an inspection report of Krungsri Securities, the SEC further probed into the case and found that {A}, {B} and {C} made securities trading decisions on the clients? behalf. The recorded