According to an inspection report submitted by Maybank Kim Eng and a complaint from a client and the SEC’s further investigation, it was found that during August 2011 – October 2018, {A} sent trading

According to the referral from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, (1) Polyplex Corporation Limited (PCL), which directly holds 16.5 percent of PTL shares and

for investigation. Given such circumstances and the fact that criminal procedure takes a long time, it has been difficult to bring a market misconduct offender to justice.?The approved amendments

Bangkok, November 10, 2010 ? The SEC has filed a criminal complaint with the Department of Special Investigation against Numkrit Jeraputtiruk, former executive of UBS Securities (Thailand) Limited

from investigation that the client instruction was unclear and certain conversations could indicate that {F} had made unauthorized gold futures trading decision and informed the client afterward

positions while his capital market investment consultant status was also suspended, effective from September 6, 2014. Three capital market investment consultants, namely {B}, {C} and {D} as well as a

version) CAPITAL NOMURA SECURITIES PUBLIC COMPANY LIMITED Finanacial Statements ( 3 record(s) found) Year Status Type Period As Of Audit Financial Statement MD&A Financial Statement Revise 2019   Company

Office, and the Bank of Thailand, for the purposes of supervising and examining the financial status and risks of members. 8 Clause 19 To preserve the public interest and to protect investors, a securities

Company still had 6. Consolidated Financial Status Management’s Discussion and Analysis (MD&A) for year 2017 14 scrap steel left and they may be considered misappropriate, fraud or stolen approximately THB

had 6. Consolidated Financial Status Management’s Discussion and Analysis (MD&A) for year 2017 (Revised) 14 scrap steel left and they may be considered misappropriate, fraud or stolen approximately THB