decisions for investors. Following a referral from Maybank Kim Eng Securities (Thailand) Plc., the SEC?s further inspection has revealed that Panita, who was an employee of Maybank Kim Eng Securities
Bangkok, July 3, 2012 ? SEC Secretary-General Vorapol Socatiyanurak revealed after a Q2/2012 meeting with the Association of Thai Securities Companies (ASCO) that the SEC and ASCO agreed on quality
, Bangkok.The documents and evidence found at the site revealed that the company solicited the public to invest in gold futures by representing itself as a branch office of foreign broker, causing investors who
this case also revealed that there were weaknesses in UBS?s internal control and compliance systems which failed to detect the irregularities in this matter which had continued for over nine months. The
Bangkok, January 14, 2013 ? The SEC revealed four key strategies, highlighting six initiatives to be launched in 2013. Its strategic direction includes: reaching out in response to the needs of
Bangkok, December 1, 2014 ? The SEC revealed its 2015 strategic plan focusing on six key developments with the aim of enhancing the integrity and resiliency of Thai capital market, promoting the Thai
cause the payments from TUCC bank account, claiming to use for the payments of the said BF and ASC cheques. The SEC findings revealed that some parts of the money withdrawn from TUCC bank account were
transaction and required to be approved by the Board of Directors and revealed to the Stock Exchange of Thailand. 7. Interested Director The Company’s director; namely Mr. Visith Leelasithorn and Mr. Nipon
. Yadapat Chinkrajangkit. The SEC investigation of the evidence has revealed that during September 2014 ? August 2016 the aforesaid persons jointly acted or conspired with or allowed or rendered assistance
addition to the allegation in June 2018, the SEC’s further investigation revealed that in 2017 seven directors and key executives of EARTH, namely, (1) Mr. Phisudhi Phihakendr; (2) Mr. Khajohnpong Khamdee