failing to file (1) the audited financial statements for the year 2016, (2) the annual report for the year 2016 (Form 56-2, 2016) (3) the annual registration statement for the year 2016 (Form 56-1, 2016
fine of Baht 1,094,500 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file (1) the audited financial statements
Securities and Exchange Act B.E. 2535 (1992) (SEA). The Criminal Fining Committee has therefore imposed a separate fine of 500,000 baht each on NEWS and Mr. Arak for failing to order or take action in
includes provisions on shareholding of acting-in- concert parties and measures against persons failing to meet the conditions for tender offer waiver. Other related rules proposed for revision involve
Bangkok, June 26, 2014 - The SEC suspended {A}, a securities investment consultant of Globlex Securities Company Limited, for failing to inform the client of sufficient information which was material
was imposed on {B} for failing to record the clients' securities trading orders.The actions resulted in suspensions occurred while these investment consultants worked with Maybank Kim Eng Securities
a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the reviewed financial statements for Q1/2014 and the reviewed
the company so complies for failing to file (1) the audited financial statements for the year 2014, (2) the annual report for the year 2014 (Form 56-2, 2014) and the annual registration statement for
day starting from the next day of prosecution date until the company so complies for failing to file the audited financial statements for the year 2016 – 2018. Since the accused pled guilty, the Court
accused to pay a fine of Baht 1,431,000 and a further fine of Baht 500 for each day starting from the next day of prosecution date until the company so complies for failing to file the audited financial