Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold

Co., Ltd.), a name similar to GIFT’s former name (Gratitude Infinite Public Company Limited), to operate a business of the same nature as GIFT and in direct competition with GIFT. Evidence indicated

Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material

deemed a failure to perform duties responsibly, carefully and honestly in violation of Section 89/7 of the Securities and Exchange Act of 1992 (SEA), which caused him or other persons to gain benefit and

Following an inspection report from One and the SEC’s further investigation, it was found that during the period from 2012 to 28 June 2024, Mr. Soontorn engaged in conduct constituting a failure to

. The SEC therefore reviewed Ms. Sulalit’s audit work performed for Renaissance FMC and found that she had seriously failed to comply with auditing standards. The deficiencies included: Failure

Bangkok, March 18, 2015 ? The SEC suspended {A}, a securities investment consultant and a branch manager of Bangkok Bank Plc., for failure to inform the client of sufficient information which was

Bangkok, May 19, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for failure to keep complete record of trading orders and failure to

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

warning of possible breach of investment terms in the redemption form.Given that the redemption was ahead of the five-calendar-year holding requirement to be eligible for the LTF tax benefits, {A}'s failure