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Report on expiry dates of investment analysts / investment consultants classified by company

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SEC suspends an investment consultant for submitting false bank documents to help a client

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=8115

The SEC requires EARTH documents within five days and special audit on sources of debts

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6853

SEC sanctions an investment consultant for signing documents without investor contact

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=5891

Criminal Court sentenced former POWER-P executive for fraud and preparation of incorrect accounts and documents

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6081

SEC files a criminal complaint against former RAM executive for fraud and preparation of incorrect documents

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...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6157

SEC files criminal complaint against POWER?s ex-executive and related persons for embezzling and falsifying documents and accounts

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=4572

SEC Thailand’s Public Hearing on Proposed Regulations for the Contents of the Constitutive Documents of Mutual Fund

https://www.sec.or.th/EN/Pages/PB_Detail.aspx?SECID=657

SEC files criminal complaint against ETL and nine associates for concealing actual information in Registration Statement and submitting documents without certain material facts

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

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=12061