Lane and Ratanaporn Aoonta for operating securities business without license.The SEC received a complaint from a foreign investor that he had been solicited by the financial and investment consultants of
Worathan Uahvilaijit for assisting them with such wrongdoing, at the total amount of 6,704,138.33 baht. According to a referral from the Stock Exchange of Thailand (SET) and the SEC?s own investigation
innovations in domestic and foreign markets; (3) Corporate finance & products: Rules, regulations and procedures governing issuance and public offering of financial instruments and related transactions;(4
the financial condition and the operating results to ensure that the potential issuer have a strong financial background; (2) Revising the criteria for backdoor listing and trading resumption to ensure
Following the investor’s complaint and SEC’s further investigation, it was found that Somchai had committed wrongful acts against the investor’s assets. In so doing, he withdrew money from the
country regulators are able to provide assistance in investigation and the exchange of information relating to violation of securities law;- At least two directors must be Thai nationals and reside in
criminal complaint with the Department of Special Investigation (DSI) against Shisiro, Pisan and Kanchanok (or Natchaporn or Rassarin), for falsifying documents and accounting records in the DAIDO financial
Rules, Conditions and Procedures for Disclosure regarding Financial and Non-financial Information of Securities Issuers
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