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

financial statements.Earlier, the SEC had ordered TUCC to rectify its financial statements for the second and third quarters of 2012 and then submit to the SEC and publicly disclose the rectified and reviewed

process of setting up an extraordinary shareholders meeting No.1/2018 and the criteria for nomination of candidates for directorship.The SEC therefore ordered that all three remaining directors whose

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

? 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

continual basis from 2015 to 2017;             (2)  managing private funds without taking the clients’ best interest into consideration. In so doing, he arranged for the clients to invest in a foreign fund

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

to do so and she was not the investment consultant in charge of such client's account. Auracha later arranged for AEC back office to confirm the share transfer with a person who was believed not to be

the company and arranging for the transfer even though it was not her duty to do so and she was not the investment consultant in charge of such client?s account. Auracha later arranged for AEC back

), 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