country regulators are able to provide assistance in investigation and the exchange of information relating to violation of securities law;- At least two directors must be Thai nationals and reside in
) under "License Check" banner. In addition, any persons who come across suspicious unlicensed activities persons can report the matter to the SEC at 1207 for further investigation."Information contained in
activities can be reported to the SEC at 1207 for further investigation.? Information contained in this news release is as of the aforementioned release date. For those who wish to see current status of the
information, in materiality. In this regard, the SEC also filed a criminal complaint against {A} with Thai Royal Police for imparting false statement to the competent officer.Following the SEC investigation to
Bangkok, January 7, 2015 ? The SEC revoked an approval of {A}, a securities investment consultant of KKTRADE Securities Company Limited Ltd.The SEC learned of {A} case from an investigation report
offering securities in the category of debenture without approval. Following referrals and the SEC's further investigation, it was found that Prasit, chief executive officer of Mandawee Tour, had held a
Thailand (SET) and the SEC's further investigation, Pinit, who was then an independent director of PDI (he no longer holds the position), knew that the company's operating results for the third quarter of
Bangkok, 21 September 2016 ? The SEC has filed a criminal complaint with the Department of Special Investigation (DSI) against Mr. Khumsup Lochaya for insider trading of Superblock Public Company
Phillip Securities (THAILAND) and the SEC?s further investigation, it was revealed that Pornthip had used blank trading orders authorized in advance with the signatures of five clients to execute unit sale
Thailand (SET), the SEC?s further investigation has revealed that during 28 August 2012 ? 30 October 2012, TIP?s executive, major shareholder and related persons used nonpublic information that would affect