aiders namely Mr. Chanchai Piulueangsawat and Mrs. Onpimon Piulueangsawat, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC?s findings from the examination of the

{C}, with the Department of Special Investigation (DSI) for committing dishonest acts.The SEC's findings from the examination of the initial public offerings (IPO) of Takuni Group Public Company

lodged by client and examination report of RHB OSK Securities, the SEC further probed into the case and found that {A}  traded securities on behalf of a client of {B}. {B} was a {A}'s subordinate and took

Bangkok, May 25, 2015 ? The SEC suspended {A}, {B} and {C}, the investment consultants of Finansia Syrus Securities Public Company Limited. Following the examination report of Finansia Syrus

authorities of each level of employees related to the register of securities; (b) management and storage of the register of securities and related securities certificates; (c) examination of the internal system

significantly inconsistent with their financial condition. In some other cases, he failed to instruct an in-depth examination of the clients? transactions as should have normally been done in other normal cases

. Clause 23 In the interest of the examination of the qualifications of the approved person and the characteristics of the depositary receipts prior to each issuance and offer for sale, the approved person

specified characteristics: (1) monitor to acknowledge possession of any unqualified characteristic of the directors, executives, and controlling persons as prescribed in Clause 23. In case there is a certain

: CPN Retail Growth Leasehold REIT (“CPNREIT”) Relationship: The Company, a unitholder of CPNREIT, holds 26.7% of units. 3. The general characteristic of the transaction 1) Type of transaction: The

Design and Manufacturing Co., Ltd. which has no relationship with the Company and is not a related party. General Characteristic of the transaction Enter into Contract to buy and sell of Land and Buildings