According to referrals from the Stock Exchange of Thailand (SET) and the SEC’s further investigation, there were facts and evidence leading to believe that the actions of the three persons above were liable to be offenses related to insider trading that caused the rise of the CHG share price. The inside information that Dr. Kumpol became aware of or possessed was CHG’s operating results for the third quarter of 2019, which recorded a significant increase in net earnings due to the income...
servicing clients who want to reclaim their assets and will lay off all employees,SEC found out that clients’ digital assets which remained under control or in possession of BX were transferred thereafter
close members of such individuals’ families; 3 ”common control” : Two or more entities or businesses are under common control if they are
performing engagements and assign responsibility in each quality control process to fit and proper individuals. Other factors include: special attention paid to attraction and retention of experienced
. How- ever, in many markets individuals and their families are dominant shareholders (for example, in Hong Kong, China). These individuals or families may control a large group of companies, with
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and
Miss Tanika Tangpoonphonvivat During the period of 21 March 2014 to 3 June 2014, Miss Tanika Tangpoonphonvivat and Mr. Sittichai Leeswadtrakul used and/or took control of 29 trading accounts of other
Mr. Sittichai Leeswadtrakul During the period of 21 March 2014 to 3 June 2014, Mr. Sittichai Leeswadtrakul and Miss Tanika Tangpoonphonvivat used and/or took control of 29 trading accounts of other
been known to have gigantic impacts even on the global market. To ensure the financial statements of those entities conform to accounting standards, auditing can no longer relies only on individuals but
supervising securities businesses; 3. The SEC Office implementing policies, inspecting licensed/approved corporations and individuals, and developing financial products. Meanwhile, the Audit Committee