prepare and disclose a report regarding his holding securities and the changes to such holdings (Form 59-2) within November 28, 2019. However, Mr. Waroon prepared and disclosed the the report (Form 59-2) to
liable for SSNL’s failure to disclose the accurate tender offer report (Form 247-4) of SSNL’s holding of Sermsuk Public Company Limited (SSC) shares on October 28, 2010. The Form 247-4 did not disclose
Section 108 Securities and Exchange Act B.E. 2535 Section 108. A securities company shall publish particulars or disclose any other information concerning the securities company in accordance with
Company Limited (SSC) shares. The Form 247-4 did not disclose that Mr. Charoen Sirivadhanabhakdi is the controlling person of SSNL who provides funding for SSNL’s tender offer of SSC shares. SEC Act S
UOB Asset Management (Thailand) Company Limited UOB Asset Management (Thailand) Company Limited, a fund management company, disclose investment information which is failed to comply with the rules
filed in the name of Mr. Porameth Rungrongtanin and did not disclose that Mr. Sathit was the owner of ABC shares. SEC Act S.247 Settlement Committee Meeting No. 9/2018 Settlement Committee Order No
securities via her nominees' securities accounts but failed to prepare and disclose report on change in her holding to the SEC Office within the period specified in the notification of the Capital Market
. Regulations on issuing equity instruments are aimed at protecting the following group of investors: New investors purchasing securities – the company is required to have appropriate qualifications and disclose
auditors were unable to express opinions due to limitation on scope of audit imposed by the companies? managements. AIE and AI must submit to the SEC and publicly disclose the rectified and audited 2014