Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
Offeror : NHCT Co.,Ltd. | Date of submission of the Statement of Intention : 05/08/2008
case also involves seeking unlawful gains and consenting to the omission of the B/E transaction records, which caused inaccurate preparation of KC accounting records. The aforesaid four executives are
Reporting Person : - | Type of securities : - | Date of reporting obligation : 27/02/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 17/02/2004
Reporting Person : - | Type of securities : - | Date of reporting obligation : 10/02/2006
Reporting Person : - | Type of securities : - | Date of reporting obligation : 22/03/2004
Reporting Person : - | Type of securities : - | Date of reporting obligation : 03/08/2006