allowing someone else using a securities trading account or a banking account, fraud by management, market manipulation, and insider trading) are which DSI has a responsibility for. Is imposed by the
Bangkok, 30 October 2017 ? The SEC is seeking public comments on the draft amendments to the ongoing capital requirement rules, which are imposed on asset management companies. The hearing also
unprofessional performance of duties in contravention of the Notification of the Capital Market Supervisory Board. The SEC has therefore imposed a 12-month suspension as a capital market investment consultant
with a large offering size, and benefit fund mobilization in the capital market.?The proposed rules would be imposed on cornerstone participation in an IPO with a minimum offering size of 5 billion baht
Bangkok, June 11, 2015 ? The SEC revealed that the Settlement Committee imposed a fine of 15,469,345.62 baht on (1) Boonchai Jirapongtrakul, (2) Boonchoke Santuchpanit (or Thiratarakorn), (3) Vallaya
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
considered such report.Previously, the SEC had notified AIE and AI to rectify their 2014 financial statements as the auditors were unable to express opinions due to limitation on scope of audit imposed by the
} Company did not put in place the operational system in accordance with professional standards. The SEC therefore imposed one year suspension on the approval granted to {X1} Company as the financial advisor
Thai Unique Coil Center Plc. (TUCC) shares. The filing of criminal complaint resulted from their failure to pay the fines imposed by the Settlement Committee, causing the criminal case to be unsettled.In
Bangkok, January 14, 2015 ? The SEC imposed a one month and ten days suspension on Bantherngsak Phuemphokha, a securities investment consultant of Krungthai Bank PLC., for failure to inform complete