Bangkok, December 7, 2012 ? The SEC will not accept application of Chanunkorn Satiraprapakul for approval as auditor in the capital market for one year, as from December 7, 2012. This follows the SEC?s finding that he had made audit mistakes and failed to comply with the auditing standards in performing the audit of financial statements of public limited companies applying for public offering of newly issued securities. The SEC?s review on working paper indicated that Chanunkorn had made mistake...
Bangkok, September 10, 2014 - The SEC sanctioned five former capital market personnel of RHB OSK Securities (Thailand) Plc., where {A} was barred from holding any securities company management
expenses incurred by the SEC. Additionally, they are each barred from serving as director or executive in securities issuing companies or securities companies, as summarized below: (1) Mr
from trading securities or derivatives and barred from serving as directors or executive of securities issuing companies or securities companies as follows: (1) Nine offenders
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
expenses incurred by the SEC, totaling 2,777,611 baht, and shall be barred from serving as a director or executive for a period of 12 months; (2) Rewadee shall pay a civil penalty, a compensation in the
on the three offenders as follows: a civil penalty, compensation in an amount equal to the benefits received or would have been received, reimbursement of the SEC's investigative expenses, and barred
the Derivatives Act B.E. 2546 (2003). The SEC therefore filed criminal complaint against him with the ECD Police for further legal proceedings. Automatically, Parin is now barred from serving as
rules, issuer will be barred from the following PO submissions for a certain periods of time. Aforementioned revised rules has already been effective.
persons to hold not more than 1/3 of total investment units sold.? In case any person or group of persons hold an amount exceeding the limit is barred from making additional investments, the asset