Bangkok, May 13, 2011 ? The SEC has put Akekajak Buahapakdee, a financial advisor supervisor of Capital Nomura Securities Plc., on probation for breaching his duties as financial advisor for initial
The Results of the Comsolidated Financial Statements Clarification on Percentage of Change More Than 20% The consolidated financial statements of Nation Multimedia Group Public Company Limited and
The Securities and Exchange Commission (SEC), in collaboration with the Faculty of Law, Chulalongkorn University, organized a workshop on Human Rights Due Diligence (HRDD) under the Business and
and Human Rights Due Diligence in Europe and Asia” หัวข้อ “Implications of Environment and Human Rights Due Diligence for Asia Business” จัดโดย the United Nations Development Programme (UNDP) และ
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during the months of March and October 2017, Nattapong, then a securities investment consultant at the bank, committed wrongful acts against investors’ assets by accepting the investors’ subscription money for mutual fund investments during off-business hours but not executing the subscription transactions as originally intended by the investors in the following business day. Instead, he spent the sub...
According to Bangkok Bank’s complaint report and SEC’s further investigation, it was found that during 22 September 2017 – 24 February 2018, {A}, then a securities investment consultant at the bank, committed wrongful acts against the investor’s assets by using the investor’s subscription money for mutual fund investments for her own interest without executing the subscription transactions as originally intended by the investor. In so doing, she made and sent false documents to the invest...
Following an AIA report on clients’ complaints and SEC’s further investigation, it was found that Chalermwut had misappropriated the money received from two clients to pay for their annual premium of unit-linked insurance policies. He did not deliver the money to the company and spent the money for his own interest instead. As a result, the clients’ insurance policies and the protection coverage lapsed. Chalermwut’s wrongful acts against investors’ assets were liable to failure to perform...
The amended regulations on the reporting of changes involve securities, namely shares, convertible securities and derivatives held by directors, executives and auditors of listed companies.** By