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

Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)

such material information could affect the benefits of securities holders, investment decisions and the EARTH securities price, the SEC has ordered EARTH to further clarify the cause of the default

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

client of such act. When the client asked for dividends from such shares, {A} transferred her own money to the client’s account instead to conceal the fact that she had not bought the shares as ordered

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

based on existing key principles aiming to ensure that (i) retail fund?s investment units will be allocated to general investors; (ii) retail fund will not be used to seek undue benefit for any particular

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