applicant?s advance rental payment made to such counterparty, although the applicant?s former headquarter was at the same place as the mentioned counterparty and another related person. (4) Information on
Bangkok, March 21, 2011 - The SEC filed a criminal complaint against {A}, {B}, {C} and {D} (former name - {E}), an investor contact (marketing officer) at SICCO Securities Plc. , with the Department
that Sagha Sakulekpaisan (former name: Chakchai (Thana) Sae Jiem, also known as ?Here-Tee") had sent, through the accounts of eight persons, trading orders of FOCUS shares during April 24-25, 2008, IFEC
Bangkok, May 12, 2014 - The SEC today filed a criminal complaint with the Department of Special Investigation (DSI) against {A}, an executive of {X1} Plc., {B} and {C}, former executives of {X2
shares purchased. The proposal to decrease the APU shares purchase was a result of UPA (formerly name CyberPlanet Interactive Plc. or former CYBER) indication that the company was unable to obtain 100% of
Bangkok, February 15, 2013 ? The SEC filed a criminal complaint against Sopana Janeborvorn, a former mutual fund manager who was then responsible for the operations of Kasikorn Asset Management Co
persons or a person acting on behalf of, or at the direction of, or an undertaking controlled by such persons; (3) inform the AMLO of such frozen assets; and (4) inform the AMLO of a customer or former
former consultant of Bualuang Securities PLC., for failure to completely record client's securities trading orders. Following a report from Bualuang Securities PLC., the SEC further probed into the case
clients more than 93 million baht during July 2013-January 2014. Evidence indicated that in the former period, he made trading decisions and notified his clients afterwards. The clients then acknowledged
Bangkok, January 12, 2015 ? The SEC imposed suspension on {A}, a former capital market investment consultant of Maybank Kim Eng Securities (Thailand) Plc., for failure to disclose specific risk of