Panacee, and (6) Mrs. Chomsuda Rungruangnavarat, an authorized director of the company purchasing the NUSA condominium units, assisted persons under (1) – (4) in committing the offenses. The SEC’s findings

to the following cases taking place at different branches:   (1)  In the case of {A}, the findings showed that she had failed to give complete information and advice on redemption of retirement mutual

Consultant, Private Fund Management Department.With reference to the investigation findings, the afore-mentioned offenders had planned and divided responsibilities for this purpose since the beginning of the

Securities Co., Ltd. and the SEC?s further findings, Nitchawan, who was working for the securities company at the time, affixed signatures as the transferor and the transferee of securities in a client

inspection findings and to promote the value of audits. At the 6th AARG meeting, there was a healthy dialogue on how regulators and audit firms can forge an even more productive relationship in light of key

on findings, during 2008-2010, Shine had traded such 12 securities through his own and other persons? accounts as follows:     (1) Shares of Sub Sri Thai Warehouse Plc. ("SST") (Presently Sub Sri Thai

certain areas, particularly disclosure.  The Morning Star Research announced the findings from its Global Fund Investor Experience Study 2013 evaluating the experiences of mutual fund investors in 24

cause the payments from TUCC bank account, claiming to use for the payments of the said BF and ASC cheques.  The SEC findings revealed that some parts of the money withdrawn from TUCC bank account were

Following a referral from the Stock Exchange of Thailand (SET) in March 2023 and the SEC’s further investigation, the findings and evidence indicated that during 5 August – 9 November 2022, these

1 (Translation) MD. 063/2018 May 9 , 2018 Re: Management Discussion and Analysis For the Operating Results ended March 31, 2018 To: President The Stock Exchange of Thailand Management Discussion and