Bangkok, June 13, 2014 ? The SEC is seeking public comment on rule revisions on subscription, underwriting, and allotment of newly issued securities and securities underwriting. The revisions aim at eliminating obstacles for issuing companies while maintaining proper protection and fairness in allotment of securities for investors. Also, rules on prevention of conflict of interest arising from securities underwriting will also be revised in responsive to current circumstances. The consultation...
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
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
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
accounts and documents, and also prepared incorrect accounts with intention to deceive others about those fraudulent actions.Previously, the SEC had received complaint concerning POWER-P?s suspicious
Bangkok, December 17, 2015 - The SEC has filed a criminal complaint against {A}, former managing director of Ramkhamhaeng Hospital Public Company Limited (RAM), with the Department of Special Investigation (DSI) for (1) failing to perform duties responsibly, carefully and honestly, (2) seeking unlawful gain for himself or other persons causing damage to the company, and (3) committing or permitting wrongful acts against RAM documents.The SEC found that {A}, then RAM managing director responsible...
payment for four business partners worth totaling 265 million baht, with evidence to believe that the beneficiaries were those related to Suriya;3. Embezzling POWER?s money by falsifying documents and
Mr. Thawatchai Pittayasophon, SEC Deputy Secretary-General, Acting Secretary-General, clarified: “The SEC, to the best effort, has taken actions under the authority in this case, e.g., instructing the company to disclose information, extend the scope of special audit, and notify investors; and cooperating with relevant law enforcement agencies. We have, so far, made substantial progress in the investigations into the case. With regard to investor rights protection, the SEC has rendered ful...
former Director Miss Krishavan Chuecharoenchai, who were responsible for ETL’s operations and had signed the power of attorney authorizing submission of these documents for SEC consideration. Therefore