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

? written authorization. She also arranged payments for traded securities ordered by other individuals. Moreover, the SEC found that Meaunchit had requested to transfer trading transactions to the company?s

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

orders of derivatives and shares in large volumes without the client’s authorization. When the client’s account suffered a large amount of loss, {A} tricked the client into depositing more cash into the

the client’s investment suitability test and ordered {B} to open a fund account under the client’s name as well as withdraw 1 million baht from the client’s savings account to buy such funds. {A

), Section 16 and subject to sanctions under Section 125. The public prosecutor ordered a non-prosecution order. DV Act S.Section 16 Criminal Complaint Filed with an Inquiry Official Dated 16/08/2017

Earlier, the SEC ordered CMO to arrange a special audit and report the results thereof by 23 November 2023.* However, CMO requested an extension of the reporting deadline to 3 January 2024 because EY

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

Bangkok, October 17, 2013 ? The SEC extended the submission date of the special audit report of Millcon Steel Plc. (MILL) until no later than October 31, 2013. Earlier, the SEC had ordered MILL to