Bangkok, May 12, 2014 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A}, an executive of {X1} Plc., {B} and {C}, former executives of {X2
Bangkok, February 15, 2013 ? The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co
persons or a person acting on behalf of, or at the direction of, or an undertaking controlled by such persons; (3) inform the AMLO of such frozen assets; and (4) inform the AMLO of a customer or former
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of
based on reasonable evidence indicating that the said persons agreed or conspired with former executives of a securities company in using their own trading accounts or other persons? to manipulate the
the status of their major shareholders and seek approval for any individuals who qualify as major shareholders under the new criteria—who have not previously been approved under the former criteria
2019, the company still had strong financial position. The total assets were 50,703.72 million baht, an increase of 3,172.66 million baht or 6.67% from the same period of the prior year. The increasing
previous year. Clause 41 The issuer of depositary receipts shall no longer be obligated to prepare and submit the report of its financial position and operating results to the SEC Office as required in this