, failing to perform duties responsibly, and consenting to preparation of incorrect accounting records. The nine offenders are: (1) Miss Neeranuch Na Ranong, former vice chairman and chief executive director
. Additionally, the four persons colluded to act or consented to the recording of the false statements or the omission of material or related statements from the account or documents of NMG to deceive any persons
Bangkok, March 11, 2014 - The SEC barred {A} from performing any management position in securities company and suspended his securities investment analyst approval status. In addition, the SEC suspended three other securities investment consultants, namely (1) {B}, (2) {C}, and (3) {D}. The sanctions took effect from March 11, 2014. The SEC found in the course of its routine inspection of Country Group Securities Plc. that {A}, a securities investment analyst and Songkla branch manager and three...
assets of EARTH Group of Companies at the approximate total value of 24 billion baht. However, EARTH failed to submit documents or reports in accordance with the SEC’s order. In addition to the violation
the SEC’s examination, is considered an offense of making false entries or omitting material statements in the accounts or documents of, or related to, a juristic person. This constitutes a violation
Bangkok, April 9, 2014 ? At the Economic Crime Division of the Royal Thai Police (ECD Police) today, the SEC filed a criminal complaint against unlicensed derivatives and securities business operators and related persons as follows: (1) Seandar Inc. (or Seandar, Seandar Limited, Seandar Inc. Limited, Seandar (Asia) Ltd., Seandar Europe, Seandarfx) and Matthew Christensen for operating unlicensed derivatives business; and (2) S D Global, Seandar Inc. (or Seandar), Huang Young Lin, Tang Tia Julien...
Bangkok, 9 August 2017 ? The SEC has ordered Energy Earth Public Company Limited (EARTH) to submit documents related to the debts worth more than 26 billion baht to the SEC within five business days
Bangkok, April 22, 2015 - The SEC suspended {A}, a securities investment consultant and a branch manager of CIMB Thai Bank PCL, for signing selling documents of structured notes without giving of
According to BBL’s inspection report and SEC’s further investigation, it was found that {A} had submitted false documents to the bank by signing on unit subscription orders for the client in order
Bangkok, July 3, 2015 ? The SEC filed a criminal complaint with the Department of Special Investigation (DSI) against Sornnon Sudtiastasilp, Naraporn Chuvessiriporn, Nacharat Sirithep, and Thanatdej (Sudtiastasilp (or Jiraphoj Phatiphothiwat) for manipulating the share price of Thai Yuan Metal Plc. (TYM); presently known as The Steel Plc. (THE). With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during March 18 ? October 9, 2008, Sornnon, Naraporn,...