activities therewith may not be protected by the laws enforced by the SEC. In the case of the Facebook accounts, the SEC has instructed the accounts to end the solicitation on the social media platform. On a
) Maj. Gen. Boonlert Jangnopparat, resulting in the number of directors being below the number required to constitute a quorum of a meeting as required by law. In this regard, the SEC has instructed Mr
instructed EARTH to prepare a special audit, in addition to the previous order, concerning the sources, existence and status of the above debts to verify the total amount of such debts. In this regard, the
instructed AIE and AI to cooperate with their auditors by providing information and documents satisfactorily, and submit the corrected and audited financial statements for the year 2015 to the SEC as soon as
in Sopana to have characteristics prohibited for capital market personnel, the SEC therefore revoked her status as an approved fund manager.Furthermore, the SEC instructed all asset management
shall have the duties as instructed by the AMLO, including: (1) set out a risk assessment policy or any guidance for the prevention of the financing of terrorism; (2) freeze the assets of the designated
companies are instructed to comply with the Guidelines for Prevention and Control of the Novel Coronavirus Disease 2019 (COVID-19) in Case of Holding Meetings, Seminars or Other Activities of Similar Nature
International Inc. and Global Legend Series Ltd. Services Ltd. – even though there had been an indication that the value of the investment fund would depreciate. Therefore, the SEC instructed EIC to submit the
instructed RS to clarify the reasonableness of the said transactions as they may raise several issues. For example, potential conflicts of interest under the business structure between RS and GIFT, the
Securities and Exchange Act B.E. 2535 (1992) (SEA), has instructed GIFT to clarify the followings: (1) The reasonableness of the transactions, which potentially result in (a) conflicts of interest within the