to inform such material information led to the Revenue Department?s demand for refund of the tax deduction money plus a fine imposed on the client. {A}, however, has already compensated for the

shareholders’ equity in the financial statements for the latest financial year submitted to the SEC. In the case where a company fails to submit the financial statements for the latest financial year but

Bangkok, June 15, 2015 ' The SEC suspended {A}, a capital investment consultant for trading securities and derivatives on behalf of client. He worked with Globlex Securities Company Limited while the

submitting the rectified and audited 2014 financial statements, due on May 8, 2015 and deadline extension for Q1/2015 financial statements, due on May 15, 2015, reasoning that the company is in the process of

the Derivatives Act B.E. 2546 (2003). The SEC therefore filed criminal complaint against him with the ECD Police for further legal proceedings.  Automatically, Parin is now barred from serving as

EMC Public Company Limited (EMC).With the referral from the Stock Exchange of Thailand, the SEC probed into the case and found that during October 16-18, 2013, Paiboon, then EMC Managing Director

redemption was in fact a breach of such terms and conditions, and consequently caused damage to the customer who had to return the tax deduction money to the Revenue Department and pay for the capital gain tax

) Mr. Natee Panichewa, and (4) Mr. Kerati Panichewa for selling shares of Dhipaya Insurance Public Company Limited (TIP) based on nonpublic information.Following a referral from the Stock Exchange of

aim to strengthen supervision on capital market business operation. Lessons learned from both organizations’ experience on cases with widespread impacts on the stakeholders were also shared for

for RHB Securities (Thailand) Public Company Limited, advised the client to buy shares of a company, claiming that such company was in the listing process of the Stock Exchange of Thailand (SET), when