on findings, during 2008-2010, Shine had traded such 12 securities through his own and other persons? accounts as follows:     (1) Shares of Sub Sri Thai Warehouse Plc. ("SST") (Presently Sub Sri Thai

Bangkok, May 17, 2013 ?  Thailand?s asset management industry received the overall score of  B, ranking third behind the US and the Republic of Korea respectively in the Morningstar?s Global Investor

Act B.E. 2535 (1992) (SEA). The audit committee twice reported that no wrongdoing was found and that the inadequacies in TUCC?s internal control, without any sign of fraud. The SEC probed into the case

Following a referral from the Stock Exchange of Thailand (SET) in March 2023 and the SEC’s further investigation, the findings and evidence indicated that during 5 August – 9 November 2022, these

the total revenues for the year 2015 and 2016 were 1.1% and 2.0% respectively. The increase thereof resulted primarily from the new marketing strategies, public relations and etc. As a result, the

, and causing a misunderstanding that there had been a conversation with, and acceptance of trading orders from, the account owner. Meanwhile, {C} took trading orders from an unthorized person.  {B}'s

result, the Settlement Committee imposed the fine of 1,101,000 baht on AEC.  The SEC findings also revealed that Thada, AEC co-chief executive officer in charge of back office, and Pisit, AEC co-chief

รับจำก EC 3. มาตรการท่ีเสนอเพื่อบรรลุ intended outcomes 3.1 ทางเลือกเพื่อบรรลุ intended outcomes ทางเลือก ทางเลือกท่ี 1 ตัดข้อก าหนดในเร่ืองการลงมติของ คณะท่ีปรึกษาฯ ทางเลือกท่ี 2 ไม่แก้ไขประกาศฯ

time; (e) conduct monitoring of the system and report the findings to the board of directors of the company or the directors entrusted by the board in order to achieve the objective and mission. Clause 6

and external sources in appropriate form and time; (e) conduct monitoring of the system and report the findings to the board of directors of the company or the directors entrusted by the board in order