. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
, amend or refrain from any act. In the case where the investment advisory company is unable to act, amend or refrain from any act ordered by the Office under the first paragraph, the approval under Clause
ENERGY PUBLIC COMPANY LIMITED SEC has ordered AI Energy Public Company Limited (AIE) and its parent company Asian Insulators Public Company Limited (AI) to cooperate with their auditors for the audit of
Building Confidence in the Capital Market No. 42/2016 SEC orders AIE and AI to cooperate with their auditors Bangkok, April 29, 2016 – The SEC has ordered AI Energy Public Company Limited (AIE) and
/2564 viewed that Huobi had failed to rectify its work systems to comply with the governing regulations, as ordered even though the SEC Board granted many deadline extensions to Huobi, as requested
Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold
Bangkok, 9 August 2017 ? The SEC has ordered Energy Earth Public Company Limited (EARTH) to submit documents related to the debts worth more than 26 billion baht to the SEC within five business days