client and {B}, an equity investment consultant , was suspended for failure to perform duties with responsibility and due care as the capital market professional, respectively.Following the complaint
Bangkok, March 16, 2015 ? The SEC suspended Napat Pipattaraauksorn, a capital investment consultant, for trading securities and derivatives on behalf of clients, failure to perform duties with
tax plus a fine.BBL has already paid compensations for the damage incurred to both customers before closing the complaint cases.The demeanor of {A} was a failure to perform duties with responsibility
urgently solve its problems, such as loan defaults and failure to prepare an submit financial statements to the Stock Exchange of Thailand (SET) to avoid a possible delisting from the SET and mitigate
trading order and the similar failure was found during the second investigation, in case of another client. Failure to record the securities trading orders was in violation of the Notifications of Capital
trading LIVE shares and converting share warrants of the persons under (8) and (9). Case 2: Seeking improper benefits from the rental and buy-back of advertising billboards The persons under (1) - (3
Distribution of Newly Issued Shares and Share Warrants by Issuer
submit the audited financial statements in accordance with the specified rules, has failed to order or act in accordance with the duties resulted in CHUO?s failure to submit the audited financial
affect POLAR investors and shareholders. In this regard, POLAR's failure to comply with the order of the SEC is liable to contravention of Section 58 (3) of the Securities and Exchange Act B.E. 2535 (1992
debentures. Failure to reach a resolution for the director appointments would materially affect IFEC's future status and business operation