Mr. Kiatchai Kitcharoenwanitkun Mr. Kiatchai Kitcharoenwanitkun failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act
Mr. Narong Puangpong Mr. Narong Puangpong failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint
Miss. Wisaka Tupudom Miss. Wisaka Tupudom failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint
Mr. Preecha Wongpa Mr. Preecha Wongpa failed to comply with the competent officer's order. This case is in the process of inquiry by the inquiry official. SEC Act S.303 Criminal Complaint
Mr. Todsapon Buachaiyo Mr. Todsapon Buachaiyo failed to comply with the competent officer's order. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
testimony to competent officer - - - - - - - - Failure to comply with the competent officer's order - - - - - - 1 2 Failure to uphold professional standards - - - - - - - - Grand Total 28 58 15 63 111 218 31
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
fund, the Government Pension Fund, provident fund or any other legal entities as specified in the notification of the SEC. 4 “competent official” means any person appointed by the Minister to perform
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
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent