Bangkok, April 11, 2013 - The SEC found that {A}, a former capital market investment consultant of Globex Securities Co. Ltd., obtained authorization to make decisions on behalf of her client and concealed important information which may have caused misunderstanding or distorting of the facts. As a result, the SEC will not consider her renewal application for nine months.From a client complaint of Globex Securities Co., Ltd., the SEC found from the investigation that {A}, a former capital market...
Bangkok, May 27, 2015 ? The SEC notified AI Energy Plc. (AIE) and its parent company, Asian Insulators Plc. (AI), to submit to the SEC and publicly disclose their rectified and audited 2014 financial
Building Confidence in the Capital Market No. 66/2015 No further extension of deadlines for AIE and AI financial statements Bangkok, May 27, 2015 – The SEC notified AI Energy Plc. (AIE) and its
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
violation of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*. Therefore, the SEC sanctioned Benjawan from her duty as the personnel in the capital market and
mainly due to the increase of administrative expenses from hiring management of subsidiaries, advisor and due diligence fees to audit the position of energy projects that the Company had entered into
of the Notifications of Capital Market Supervisory Board concerning personnel in the capital market*, the SEC therefore sanctioned three investment consultants as follows: 1. Suspended {A} from her
the law*. The SEC, therefore, sanctioned the said four persons and the executive by suspension the approval and set the period of acceptance of their re-applications**.In this regard, the SEC warns
decisions on the clients? behalf were misconduct while Monta?s action was failure to perform her duty in compliance with the company?s rules*. The SEC, therefore, sanctioned the said four persons by