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...
records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. In September 2021, the SEC
forms and depositor signatures of her clients. Nuchanart later confessed to TMB in writing that she had committed frauds against her clients’ assets and had sought undue benefits for herself at an
Holborn Assets : Unlicensed securities and derivatives business (Disclosure Date : 16/10/2020)
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
Company Limited (LIVE)) and their associates, in the total of nine persons, with the Department of Special Investigation (DSI) on account of jointly committing dishonest acts to misappropriate TRITN assets
means the records of investors’ assets under custody of the business operators must be accurate, complete and updated while the assets must be properly protected from relevant risks. Therefore, the SEC
Microsoft Word - The Aquisition of Assets - TLM September 11, 2018 Subject: Acquisition of Assets To: The Director and Manager The Stock Exchange of Thailand The Board of Directors' Meeting of KCE