Control Order (“MCO”) or lockdown imposed the Government of Thailand, Malaysia, Indonesia and India was necessary to prevent the spread of the virus. Thailand and Malaysia were badly impacted by the MCO
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 companies’ managements arising from lack of efficiency
, the suspension imposed by the SEC is deemed to have been served. For {B}, the SEC suspended her from duty as the approved equity investment consultant for one month, effective from March 16, 2015
capital market investment consultant for 11 months. Having considered that he had already been suspended by Tisco Securities Securities for three months, the suspension imposed by the SEC shall remain 8
approved securities investment consultant for a year and 2 months. Having considered that Acting Sub-lieutenant Saroj had already been suspended by his employer for 3 months, the suspension imposed by the
already been suspended by his employer for one month; the suspension imposed by the SEC shall remain five months, effective from February 26, 2015.# # # #* Clause 20(2) of the Notification of Capital Market
his employer for 3 months, the suspension imposed by the SEC shall remain 11 months, effective from January 15, 2015.*Clauses 20(1) and 20(2) of the Notification of Capital Market Supervisory Board No
subscription order of a client without contacting or giving advice to the client. She admitted having done so without providing details on the fund to the client. The SEC has therefore imposed a 40-day
Bangkok, 4 January 2018 ? The Criminal Fining Committee has imposed separate fines on four offenders for publicly offering debentures without approval.The four offenders are: (1) Marnfah Group Co
Bangkok, 30 March 2018 ? The SEC has imposed civil sanction on two offenders, namely Mr. Pinit Vongmasa and Mr. Chatchala Vongmasa, for using inside information to purchase shares of Padaeng Industry