trading orders. Failure to do so will therefore result in the SEC's administrative actions. In this regard, the SEC on July 5, 2012 imposed administrative sanction on three investment consultants by

Bangkok, 28 April 2017 ? The SEC has ordered the Board of Directors of Polaris Capital Public Company Limited (POLAR) to further clarify individually within 15 days on the company's failure to hold an extraordinary general meeting (EGM), details on the number of the company's directors qualified to work, and the contract to buy and sell a land in the Phaholyothin area, including the cancellation of investment in Day Poets Co., Ltd (A day). On 27 March 2017, POLAR disclosed information through th...

Bangkok, 6 January 2017 ? The SEC has ordered K.C. Property Public Company Limited (KC) to amend its annual financial statements for the year 2015 and the interim financial statements for the third quarter of 2016 because they failed to present correct information on the liabilities incurred from the company's issuance of bills of exchange (B/E). KC is also required to have a special audit on such B/E issuance, related receipt and payment transactions, and the accounting records.The order was is...

Bangkok, September 5, 2011 - The SEC has suspended two investor contacts, (1) {A}  for not taping the conversation made with client on trading orders and (2) {B} for interfering with client's assets

Bangkok, April 21, 2015 - The SEC suspended {A}, a securities investment consultant of RHB OSK Securities (Thailand) Plc. (RHB OSK) for taking securities trading orders from a person who is not the

Bangkok, May 19, 2015 ? The SEC suspended {A}, a capital market investment consultant of Apple Wealth Securities PCL, for failure to keep complete record of the securities trading orders. The SEC

Bangkok, March 21, 2016 ? The SEC has ordered Chewathai Public Company Limited (CHEWA) and its financial advisor RHB Securities (Thailand) Public Company Limited to clarify their disclosure, via media interview, of additional information beyond what appears in the filing of CHEWA initial public offering. The cooling period of the IPO, as a result, has been suspended due to the inconsistent disclosure.  With reference to the interview given by CHEWA executive and RHB financial advisor, which appe...

Bangkok, May 24, 2016 ? The SEC has ordered Electronics Industry Public Company Limited (EIC) to submit the annual financial statements for the year 2014, the quarterly financial statements for the first, second and third quarters of 2015, and the annual financial statements for the year 2015, which have all been audited and reviewed, and disclose such information to the public without delay.According to the auditor?s report, accounting policies were improperly used in the annual financial state...

Gold Futures Co., Ltd. that {A} frequently failed to keep records of his clients' derivative trading orders. He also admitted taking such trading orders via mobile phone or customers' instruction in the

trading orders, effective from January 19, 2013.The SEC found from its routine inspection that {A} had failed to record her investment advice and a client's securities trading orders for 14 days as