Bangkok, October 5, 2015 ? The SEC notified Polaris Capital Public Company Limited (POLAR) to submit and clarify all information within seven days as well as ordered the approval of POLAR capital
Bangkok, 15 September 2016 ? The SEC has ordered North Heaven Private Equity Asia Company Limited, the tender offeror of DSG International (Thailand) Public Company Limited (DSGT), to disclose more
client’s account by using the passbook and withdrawal slips signed in advance by the client and kept by Somchai, at an amount higher than the ordered amount. He then used the excessive amount for his own
Rules, ConditioRules, Conditions and Procedures for Appointment of Agents for Selling Investment ns and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of
Headline: SEC has ordered YNP to amend its financial statements Quarter 3, 2010 and Yearly, 2010 Source: SEC Announcement Details Financial statements commands from the SEC Subject SEC has ordered
the true owner of the trading account, and adding a new contact phone number to the client's personal profile even though there was no evidence that the client had ordered the responsible investment
was no evidence that the client had ordered the responsible investment consultant to do so. Auracha?s actions were deemed as (1) failure to perform duties or provide services honestly, (2) misconduct
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
management company conducts an offence relating to misleading its financial status or actual performance; (5) the management company is not ordered by the Securities and Exchange Commission or the Office to