submitted the annual report for the year 2020 to the SEC Office on 20 October 2021, later than the period specified by the notification of the Capital Market Board. Criminal Complaints This case is in the
Market Supervisory Board No. TorThor/Khor/Dor/Nor. 62/2552 Re. Determination for Securities Companies to Proceed with Customer Complaints ______________________ By virtue of Section 16/6 and Section 113 of
REGULATORS 1. Maintenance of records 2. Scheduled or surprise audits involving site visits to firm headquarters 3. Follow-up investigations for complaints BUT DOES NOT ADJUDICATE 4. Issue sanctions
According to the complaints submitted by nine investors and SEC’s further investigation, it was found that during 13 July 2015 – 13 November 2018 Napasook , an LH securities investment consultant
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officials or make an appointment for consultation service at SEC office without any charge.”Simultaneously, SEC has also improved its internal work process in receiving information, clues and complaints
investigation following the complaints from minority shareholders and the Association of Thai Shareholders regarding the NEWS private placement of newly issued shares, it was found that NEWS had issued 6 billon