Bangkok, 27 July 2017 ? The SEC has refused to grant Energy Earth Public Company Limited (EARTH) an extended deadline for submitting the special audit report which was due on 24 July 2017, and urged the company to expedite the submission to the SEC and the disclosure through the SET Electronic Information System. Meanwhile, EARTH executives are subject to investigation regarding their duty performance. Earlier, the SEC had instructed EARTH to arrange a special audit on the advanced payments for...
The SEC monitors and observes events and exhibitions featuring booth setups related to investment advice and service solicitation. Recently, the SEC has been alerted by the public and relevant stakeholders regarding suspicious activities involving unlicensed securities companies, derivatives business operators, and digital asset business operators, including such business operators from abroad. These entities allegedly solicited the public to invest or use their services at their booths during a...
Bangkok, 6 February 2018 ? The SEC has announced the SEC Scholarship Program for the public. The scholarship recipient can pursue a master's degree overseas in any capital market-related field and
, for the purpose of listing my name onto the Issuing Company’s Director and Executive Database of the company, to inspect my personal information relevant to consideration of the SEC Office and to
;s system for categorizing customers and offering debentures according to the customer classification, as well as its supervision were insufficiently stringent because CL did not inspect that the
, which are deemed illegal under the laws enforced by the SEC, the SEC will request that the event organizers close these booths and pursue legal action, which may result in both imprisonment and fines. If
Department of Special Investigation (DSI) to pursue legal actions against (1) Prachai Leophairatana - Chairman of the Executive Committee of TPIPL rehabilitation Plan Administrator, and (2) Stern Stewart & Co
securities. Otherwise, the SEC will strictly pursue legal action against such wrongdoing as insider trading deteriorates investors? trust as well as confidence in the capital market.?
strictly monitor and supervise their investment consultants to follow such requirements, the SEC may consider that they have inefficient compliance systems and may pursue further actions.?The trading volume